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The 
NORTH CAROLINA 

REGISTER 



H 



JTITU 
TION 



IN THIS ISSUE 

EXECUTIVE ORDERS 
ADMINISTRATIVE ORDER 
FINAL DECISION LETTERS 



PROPOSED RULES 




Administration 




Certified Public Accountant 




Cultural Resources 




Human Resources 




Insurance 




Medical Examiners 




FINAL RULES 


RECPtVED 


Correction 


NOV 1 1991 


Revenue 


C/IW LIbKARY 



RRC OBJECTIONS 

RULES INVALIDATED BY JUDICIAL DECISION 

ISSUE DATE: OCTOBER 15, 1991 
Volume 6 • Issue 14 • Pages 924-980 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published bi-monthly 
and contains information relating to agency, executive, 
legislative and judicial actions required by or affecting 
Chapter 150B of the General Statutes. All proposed, ad- 
ministrative rules and amendments filed under Chapter 
150B must be published in the Register. The Register 
will typically comprise approximately fifty pages per 
issue of legal text. 

State law requires that a copy of each issue be pro- 
\'ided free of charge to each county in the state and to 
\arious state officials and institutions. The North CaroHna 
Register is available by yearly subscription at a cost of 
one hundred and five dollars ($105.00) for 24 issues. 

Requests for subscriptions to the North Carolina 
Register should be directed to the Office of Ad- 
ministrative Hearings, P. 0. Drawer 27447, Raleigh, N. 
C. 27611-7447, Attn: Subscriptions. 

ADOPTION, AMENDMENT, AND REPEAL OF 
RULES 

An agency intending to adopt, amend, or repeal a rule 
must first publish notice of the proposed action in the 
North Carolina Register. The notice must include the 
time and place of the public hearing; a statement of how 
public comments may be submitted to the agency either 
at the hearing or otherwise; the text of the proposed 
rule or amendment; a reference to the Statutory 
Authority for the action and the proposed effective date. 

The Director of the Office of Administrative Hearings 
has authority to publish a summary, rather than the 
full text, of any amendment which is considered to be 
too lengthy. In such case, the full text of the rule con- 
taining the proposed amendment will be available for 
public inspection at the Rules Division of the Office of 
Administrative Hearings and at the office of the pro- 
mulgating agency. 

Unless a specific statute provides otherwise, at least 
30 days must elapse following publication of the pro- 
posal in the North Carolina Register heiore the agency 
may conduct the required public hearing and take ac- 
tion on the proposed adoption, amendment or repeal. 

When final action is taken, the promulgating agency 
must file any adopted or amended rule for approval by 
the Administrative Rules Review Commission. Upon ap- 
proval of ARRC, the adopted or amended rule must be 
filed with the Office of Administrative Hearings. If it 
differs substantially from the proposed form published 
as part of the public notice, upon request by the agen- 
cy, the adopted version will again be published in the 
North Carolina Register. 

A rule, or amended rule cannot become effective 
earlier than the first day of the second calendar month 
after the adoption is filed with the Office of Ad- 
ministrative Hearings for publication in the NCAC. 

Proposed action on rules may be withdrawn by the 
promulgating agency at any time before final action is 
taken by the agency. 

TEMPORARY RULES 

Under certain conditions of an emergency nature, 
some agencies may issue temporary' rules. A temporary 
rule becomes effective when adopted and remains in 



effect for the period specified in the rule or 180 day: 
whichever is less. An agency adopting a temporary rul 
must begin normal rule-making procedures on the pe 
manent rule at the same time the temporary rule 
adopted. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) 
a compilation and index of the administrative rules ( 
25 state agencies and 38 occupational licensing board 
The NCAC comprises approximately 15,000 letter siz 
single spaced pages of material of which approximat 
ly 35% is changed annuallv. Compilation and public 
tion of the NCAC is mandated by G.S. 150B-63(b). 

The Code is divided into Titles and Chapters. Eac 
state agency is assigned a separate title which is fu 
ther broken down by chapters. Title 21 is designate 
for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimu 
cost of two dollars and 50 cents ($2.50) for 
pages or less, plus fifteen cents ($0.15) per eac 
additional page. 

(2) The full publication consists of 53 volume 
totaling in excess of 15,000 pages. It is su 
plemented monthly with replacement pages, 
one year subscription to the full publication i 
eluding supplements can be purchased f( 
seven hundred and fifty dollars ($750.00). I 
dividual volumes may also be purchased wi 
supplement service. Renewal subscriptions f 
supplements to the initial publication availab 

Requests for pages of rules or volumes of the NC/ 
should be directed to the Office of Administrati 
Hearings. 

NOTE 

The foregoing is a generalized statement of the pi 
cedures to be followed. For specific statutory languaj 
it is suggested that Articles 2 and 5 of Chapter 150B 
the General Statutes be examined carefully. 

CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issi 
page number and date. 1:1 NCR 101-201, April 1, 19 

refers to Volume 1, Issue 1, pages 101 through 201 
the North Carolina Register issued on April 1, 198( 



North Carolina Register. Published bi-monthly by the 
Office of Administrative Hearings, P.O. Drawer 27447 
Raleigh, North Carolina 27611-7447, pursuant to 
Chapter 150B of the General Statutes. Subscriptions 
one hundred and five dollars ($105.00) per year. 

North Carolina Administrative Code. Published in 
looseleaf notebooks with supplement ser\'ice by the 
Office of Administrative Hearings, P.O. Drawer 27447, 
Raleigh, North Carolina 27611-7447, pursuant to 
Chapter 150B of the General Satutes. Subscriptions 
seven hundred and fifty dollars ($750.00). Individual 
volumes a\'ailable. 



NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, \C 27611-7447 

(919) 733 - 2678 



Julian Mann III, 

Director 
James R. Scarcclla Sr., 

Deputy Director 
MoUy Masich, 

Director APA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 



ISSUE CONTEXTS 



I. EXECLTrV E ORDERS 

Executive Orders 151-152 924 

II. AD.MIMSTRATrV E ORDER 

Administrative Order 926 

in. FINAL DECISION LETT ERS 

Voting Rights Act 927 

IV. PROPOSED RULES 
Administration 

State I'mployees Combined 
Campaign 929 

Cultural Resources 
Archives and History 932 

Human Resources 
Medical Assistance 932 

Insurance 
Financial Evaluation Division .933 

Licensing Boards 
Certified Public Accountant 

Examiners 935 

Medical Examiners 935 

V. FINAL RULES 

Correction 

Division of Prisons 938 

Revenue 
Departmental Rules 968 

Intangibles Tax 969 

License and Excise Tax 969 

VI. RRC OBJECTIONS 971 

VII. RULES EVTALIDATED BY 

JUDICIAL DECISION 976 

VIII. CUMULATrV E INDEX 978 



NORTH CAROLINA RKGISTKR 

Publication Schedule 

(October 1991 - December 1992) 



Issue 


Last Dav 


Last Day Earliest 


Earliest 


Last Day 


+ 


Date 


for 


for Date for 


Date for 


to 


Earliest 




Filing 


Electronic Public 


Adoption 


Submit 


Effective 






EiHng Hearing 


by 

Agency 


to 
RRC 


Date 



+*++++++++++*+***4 



N+*+*****+*++***++++++++++*+++**+*+**+++*** *+**++ 



10.01/91 
10/15/91 
11/01/91 
11/15,91 
12 02 91 
1216/91 
01,02,92 
01/15/92 
02 03 92 
02/14 92 
03/02,92 
03/16/92 
04,01,92 
04/15,92 
05,01,92 
05/15 92 
06/01,92 
06/15/92 
07,'01/92 
07,15/92 
08,03,92 
08 14 92 
09,01/92 
09/15,92 
10 01/92 

10 15,92 

11 02/92 
II 16 92 
12,01/92 
12/15/92 



09 10,91 
09/24,91 
10/ 1 1/91 
10/24,91 
11/07,91 
II '21/91 
12/09,91 
12 20 91 
01/10,92 

01 24 92 

02 10 92 

02 '24 92 
03/1192 

03 25 92 

04 10,92 

04 24 92 
05,11,92 

05 25/92 
06/10,92 
06'2492 
07 13 92 
07 24 92 
08' 1 1/92 
08/25,92 
09/10 92 
09,24 92 

10 12 92 
10/23,92 

11 06 92 
11/24 92 



09/1791 
10,01,91 
10/18-91 
10 31/91 
11/14, 91 
12/02/91 
12/16,91 
12 31 91 
01/17 92 
01 31 92 
02/17 92 

03 02 92 
03/18 92 

04 01 92 

04 17 92 

05 01 92 

05.18 92 

06 01,92 
06,17,92 

07 01 92 
07 20 92 
07 3192 
08/18 92 
09 01 92 

09 17 92 

10 0192 

10.19 92 
10/30 '92 

11 13 92 

12 01 92 



10/31/91 
10/30/91 
11/16/91 
11/30/91 
12/17 91 
12/31/91 
01/17,92 
01/30,92 
02,' 18 92 

02 29 92 

03 17 92 
03 31 92 
04/16/92 
04/30 92 
05/16 92 
05 30 92 
06/16.92 
06/30 92 
07/16/92 
07/30 92 
08'18 92 

08 29 92 

09 16 92 
09, 30, 92 

10 16 92 
10 '30 92 
11/17/92 
12/01/92 
12,16/92 
12/30,92 



10,3191 
11/14.91 
12/01/91 
12/15/91 
01/01/92 
01 15,92 
01/31,92 
02,14 92 
03 04 92 

03 15 92 

04 01 92 

04 15 92 

05 01 92 
05 15 92 

05 31 92 

06 14 92 

07 01 92 
07 15,92 

07 31 92 

08 14 92 

09 02 92 

09 13,92 

10 01,92 
10 15,92 

10 31 92 

11 14,92 
12,02 92 

12 16 92 
12 31 92 
01 14 93 



11,20 91 
11,20,91 
12 20'9I 
1 2/20 '9 1 
01/20,92 
01/20 '92 
02/20,92 
02 20 92 
03/20 92 
03 '20 92 
04 20 92 
04 20 '92 
05/20 '92 
05 '20 92 
06,20 92 

06 20 92 

07 20 92 
072092 
08/20 92 

08 20 92 
09,'20 92 
09/20 92 



10 

10' 

II' 

II 

12 



20, '92 
20 92 
20 92 
20 92 
20,92 
12 20 92 
01/20/93 
01 20 '93 



02/01/92 
01/01/92 
02/01/92 
02,01/92 
03/01/92 
03 01/92 
04,01,92 
04,01,92 
05 01,92 

05 01/92 

06 01,92 
06,0192 
07,01/92 
07,01/92 
08,01.92 
08 01 92 
09,01 92 
09,01,92 
10 01/92 

10 01 92 

11 01 92 
II 01,92 
12,01/92 
12/01,92 

oroi'93 

01 01 93 

02 01,93 
02 01 '93 
0301/93 
03/01/93 



* The "Earliest Effecti\'e Date" is computed assuming that the agency follows 
the publication schedule above, that the Rules Rexiew Commission approves the 
nde at the next-calendar month meeting after submission, and that RRC delivers 
the rule to the Codifier of Rules fn-e (5) business days before the 1st of the next 
calendar month. 



EXECUTIVE ORDERS 



EXECL TIVE ORDER NUMBER 151 

GOVERNOR'S ADVISORY COMMISSION 

ON MILITARY AFFAIRS 

By the authority vested in me as Governor by 
the Constitution and laws of North Carolina, IT 
IS ORDERED: 

Section 1. ESTABLISHMENT 

The Governor's Advisory Commission on Mil- 
itary Affairs is hereby re-estabHshed. It shall be 
comprised of thirty (30) members. Fifteen (15) 
members are to be appointed by the Governor 
and serve for terms of two (2) years at the pleas- 
ure of the Governor. In addition to the fifteen 
(15) appointed members the following fifteen 
(15) will be permanent members: The Lieuten- 
ant Governor of North Carolina; the Chair- 
persons of the Military Affairs Committees of the 
North Carolina House of Representatives and 
the North Carolina Senate; the Secretaries of the 
Departments of Administration, Transportation, 
Environment, Health and Natural Resources, 
Crime Control and Public Safety, and Economic 
and Community Development; the base 
commanders of Fort Bragg, Camp Lejeune, 
Cherry Point and the Elizabeth City Coast 
Guard Air Station, the Wing Commanders of the 
4th Tactical Fighter Wing and the 3 1 7th Tactical 
Airlift Wing and the Adjutant General of the 
North Carolina National Guard. The Go\emor 
shall designate one of the members as Chair- 
person. 

Section 2. MEETINGS 

The Commission shall meet regularly at the call 
of the Chairperson, the Governor, or the Secre- 
tary of Crime Control and Public Safety. 

Section 3. DUTIES 

The Commission shall have the following du- 
ties: 

(a) Provide a forum for the discussion of is- 
sues concerning major military' installa- 
tions in the State, active and retired 
military personnel and their families. 

(b) Formulate goals and objecti\es which en- 
hance cooperation and understanding be- 
tween the military components, the 
communities, our congressional deleg- 
ation, the general public, and State, fed- 
eral, and local governments. 

(c) Strengthen the State's role in securing de- 
fense related business for North Carolina 
businesses and in selling North Carolina 
products to North Carohna military bases. 



(d) Collect and study information related to 
supporting and strengthening the military 
presence within the State. 

(e) Review proposed military affairs legis- 
lation. 

(f) Advise the Governor on measures and ac- 
tivities which would support and promote 
defense installations and military families 
within the State. 

Section 4. ADMINISTRATION 

Support staff for the Commission shall be pro- 
vided by the Department of Crime Control and 
Pubhc Safety. Members shall serve without 
compensation but may receive reimbursement, 
contingent upon the availability of funds, for 
travel and subsistence in accordance with 
N.C.G.S. 138-5, 138-6, and 120-3.1. 

Section 1 EFFECTIVE DATE AND 

EXPIRATION 
The Order shall be effective immediately. 

Done in the Capital City of Raleigh, North 
Carolina, this the 1 1th day of September, 1991. 

EXECUTIVE ORDER NUMBER 152 

ESTABLISHING THE PERSIAN GULF WAR 

MEMORIAL COMMISSION 

WHEREAS, one-sixth (1/6) of the nearly 
500,000 troops ser\'ing in the Persian Gulf War 
were residents of, or stationed in, North 
Carolina; and, 

WHEREAS, a number of these servicemen and 
servicewomen from North Carolina gave their 
lives for their country during the Persian Gulf 
War. 

THEREFORE, by the authority vested in me 
by the Constitution and laws of North Carolina, 
IT IS ORDERED: 

Section 1. ESTABLISHMENT 

There is hereby established the Persian Gulf 
War Memorial Commission. It shall be com- 
prised of the following: 

1. Two members of families who lost relatives 
in the Persian Gulf to be appointed by the 
Governor. 

2. The base commanders of 

(a) Fort Bragg, 

(b) Camp Lejeune, 

(c) United States Marine Corps Air Station 
at Cherry Point, 

(d) Seymour Johnson Air Force Base, 

(e) Pope rVir Force Base, 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



924 



EXECUTIVE ORDERS 



(f) The Coast Guard Station at Fort Macon, 

(g) New River Aix Station, and 

(h) Elizabeth City Coast Guard Air Station, 
or theij designees. 



North Carolina 
elected bv the 



the North Carolina 



3. One member from the 
N'eterans Council to be 
Council. 

4. One member from 
\"eterans .Affairs Commission to be elected 
by the Commission. 

5. The Adjutant General of the North 
CaroUna National Guard. 

6. The Senior Commander of the United 
States /Vrmy Reser\'e from North Carolina, 
deployed to the Persian Gulf. 

7. The Lt. Governor of North Carolina. 

8. The Secretary of the North Carolina De- 
partment of Administration. 

9. The Secretap.' of the North Carolina De- 
partment of Crime Control and PubHc 
Safety. 

10. The Director of the United States Depart- 
ment of Veteran .Affairs Regional Office. 

From among the membership the Governor 
shaU appornt a Chairperson. The Commission 
shall meet at the call of the Chairperson. 



Section 2. PURPOSE 

The purpose of the Commission is to select a 
site for construction of a memorial, develop plans 
for funding, select a design for the memorial, and 
select a construction firm to construct the me- 
morial. To this end the Commission shall es- 
tablish itself as a nonprofit, Chapter 501c(3) 
corporation for the purpose of receipt of and ex- 
penditure of donated funds. At the completion 
of each of the aforementioned the Chairperson 
shall advise the Go\'emor of the Commission's 
fmdrngs and results. 

Section 3. ADMINISTRATION 

.Administrative support for the Commission 
shall be provided by the Department of Admin- 
istration's Division of Veterans .-Affairs. There 
shall be no per diem paid to members of the 
Commission; however, necessary tra\'el and 
subsistence allowance mav be paid in accordance 
with N.C.G.S. 138-5, 138-6, and 120-3.1. 

Section 4, EFFECTIVE D.ATE 

This Order shall be effective immediately. 

Done in the Capital City of Raleigh, North 
Carolina, this the 1 1th day of September, 1991. 



925 



6:14 NORTH CAROLISA REGISTER October 15, 1991 



ADMINISTRA TIVE ORDER 



STATE OF NORTH CAROLCSA 

Office of Administrative Hearings 
ORDER 

Pursuant to G.S. 7A-752, Julian Mann, III, Chief Administrative Law Judge of the Office of 
Administrative Hearings, hereby duly designates Fred Gilbert Morrison, Jr., to ser\''e in the capacity 
of Senior Administrative Law Judge with all the rights, duties and privileges as conferred in said 
Section. 



Witness may hand and seal this the 1st day of October, 1991. 



s/Julian Mann, III 



Chief Administrative Law Judge 



6:14 NORTH CAROLINA REGISTER October 15, 1991 926 



VOTING RIGHTS ACT FINAL DECISION LETTERS 



[G.S. I20-30.9H, effective July 16, 1986, requires that all letters and other documents issued by the 
A ttorney General of the United States in which a final decision is made concerning a "change af- 
fecting voting" under Section 5 of the Voting Rights Act of J 965 be published in the North Carolina 
Register. / 



U.S. Department of Justice 
Civil Rights Division 

JRD:LLT:NT:gmh 

DJ 166-012-3 Voting Section 

91-2483 P.O. Box 66128 

Washington, D.C. 20035-6128 

September 13, 1991 

Richard J. Rose, Esq. 

Poyner & Spruill 

P. O. Box 353 

Rocky Mount, North Carolina 27802 

Dear Mr. Rose: 

This refers to six annexations (Ordmance Nos. 0-89-58, 0-90-17, 0-90-62, 0-90-63, 0-91-1, and 
0-91-13); the designation of the annexed areas to election districts; and the delay in the 1991 municipal 
election to May 1992 for the City of Rocky Mount in Edgecombe and Nash Counties, North Carolina, 
submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965, as amended, 
42 U.S.C. 1973c. We received your submission on July 15, 1991. 

The Attorney General does not interpose any objection to the specified changes. However, we 
note that Section 5 expressly provides that the failure of the Attorney General to object does not bar 
subsequent litigation to enjoin the enforcement of the changes. See the Procedures for the Adminis- 
tration of Section 5 (28 C.F.R. 51.41). 



Sincerely, 



John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Gerald W. Jones 
Chief Voting Section 



927 6:14 NORTH CAROLINA REGISTER October 15, 1991 



VOTING RIGHTS ACT FINAL DECISION LETTERS 



U.S. Department of Justice 
Civil Rights Division 

JRD:LLT:TGL:mjnb 

DJ 166-012-3 Voting Section 

91-2735 P.O. Box 66128 

Washington, D.C. 20035-6128 

September 18, 1991 

DeWitt F. McCarley, Esq. 

City Attorney 

P. O. Box 7207 

Greenville, North Carolina 27835-7207 

Dear Mr. McCarley: 

This refers to the annexation [Ordinance No. 2327 (1991)] and the designation of the annexation 
to an election district for the City of Greenville in Pitt County, North Carolina, submitted to the At- 
torney General pursuant to Section 5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. 
We received your submission on July 25, 1991. 

The Attorney General does not interpose any objection to the specified changes. However, we 
note that Section 5 expressly provides that the failure of the Attorney General to object does not bar 
subsequent litigation to enjoin the enforcement of the changes. See the Procedures for the Adminis- 
tration of Section 5 (28 C.F.R. 51.41). 



Sincerely, 



John R. Dunne 

Assistant Attorney General 

Civil Rights Division 



By: 



Gerald W. Jones 
Chief, Voting Section 



6:14 NORTH CAROLINA REGISTER October 15, 1991 928 



PROPOSED RULES 



TITLE 1 DEPARTMENT OF 
ADMIMSTRAIION 

lyotice is hereby given in accordance with G.S. 
150B-2I .2 that the Department of Administration 
intends to amend rule(s) cited as I NCAC 35 
.0103. .0202, .0301 - .0303, .0403. 

1 he proposed effective date of this action is 
February I, 1992. 

1 he public hearing will be conducted at 10:00 
a.m. on November 14, 1991 at Commission Room 
5034, Department of Administration, 116 West 
Jones Street. Raleigh, XC 27603-S003. 

J\eason for Proposed Action: To amend rules 
to provide for greater efficiency in the manage- 
ment of the State's Employees Combined Cam- 
paign. 

\^ omment Procedures: .Any interested person 
may present hisjher comments either in writing 
prior to or at the hearing or orally at the hearing. 
Any person may request information, permission 
to be heard or copies of the proposed regulations 
by writing or calling David McCoy, Department 
of Administration, 116 West Jones Street, 
Raleigh. NC 27603-S003. 

CHAPTER 35 - STATE EMPLOYEES 
COMBINED CAMPAIGN 

SECTION .0100 - PLKPOSE AND 
ORGANIZATION 

.0103 ORGANIZATION OF THE CAMPAIGN 

The Campaign Organization is as follows: 

(1) Ch;iir. F-ach year the Governor wtU may 
appoint a State Combined Campaign Di- 
rector from one of the E.\ecuti\e Cabinet or 
University Administration agencies. TTie 
Campaign Director or the Campaign Direc- 
tor s designee will serve as chair of the 
Campaign. The responsibilities of the Chair 
include setting the dates and approving the 
pubhshed materials for the Combined Cam- 
paign, contracting for the Statewide Cam- 
paign Manager, and serving as chair of the 
S.E.C.C. advisory' committee. 

(2) Statewide Combined Campaign Ad\isory^ 
Committee. This ongoing committee serves 
as a central application point for all charita- 
ble organizations applying to participate in 
the S.E.C.C. »«4 ■. hcill dotL ' nninL ' 4 t-ht» c*f»- 
plicant agonciiH ' moot tb<* appro' . i.'d cnt e ria 
\i^4^ m R«4e r0343 ef t4«* Chapt e r. The 



Committee recommends overall policy for 
the Campaign to the Governor, the Cam- 
paign Director and necessary state agencies 
and sets the criteria for participation by 
charitable (organizations. The Committee 
re\iews the recommendations made by the 
Statewide Campaign .Manager and accepts 
or rejects its recommendations. The Com- 
mittee is composed of ten members ap- 
pointed by the Campaign Director. 
.Members of the Committee will initially 
serve staggered terms of one, two, and three 
calendar years determined by the Campaign 
Director. As each member's term expires, 
the replacement member will serve a three 
calendar year appointment. 

(3) Statewide Campaign Manager. Determines 
if the applicant agencies meet the approved 
criteria listed in Rule .0202 of this Chapter. 
Serves as the financial administrator for the 
Combined Campaign and as such is re- 
sponsible for receivmg reports from the local 
Combined Campaigns, for transmitting to 
each local campaign its share of the state 
emplovec^ pa\ToU deduction funds, and for 
preparing an end of campaign report which 
summarizes all fiscal campaign actnitv m- 
cludmg local audits. The Statewide (Cam- 
paign Manager is also responsible for the 
pnnting and distribution of the pledge form, 
campaign report fonn, and collection cinel- 
opes. 

(4) (4^ Local Campaign Chair. The Governor, 
if asked by the local charitable organizations 
accepted in to the Combined Campaign, ¥r4U 
may appoint a an area representative b+ from 
either state government or the L'ni\'ersity h* 
A«» a*ea to serve as the local chair. This 
person will be responsible for forming a lo- 
cal advisory committee for soluntocr 
recruitment of volunteer state employees, 
approval of local campaign literature, ap- 
proval, afni the establishment of local goals 
as needed, and the distnbution of any un- 
designated funds made available for distrib- 
ution. 

f4) Ma '. tLT j\ccount. Sen or . a*^ t+»t» financial 
admini! . trutor f^f ih* Combined (jampaign. 
i*ft4 a* such » ro ' jponr . iblo fof roocising »- 
porta from t4«* local Combined Cximpiugnf . ; 
fef trunt . mitting te each local campaign ite 
oharo ef tk# f . tat e employeor i payroll 4t»- 
duction fundo: aftd fof preparing aft eft4 f4~ 
campaign report which r . unimarij'eL . all fiscal 
campaign acti' i ity including local lUidit -. . 
■i^ master account i* ake- responsible fe* 
tl» printing aft4 distribution ei tbe pledg e 



929 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



PROPOSED RULES 



form, campaign R ' port form, aft4 coUoction 
en^'olopos. 
(5) Local Campaign Manager. Once applica- 
tions for acceptance into the campaign have 
been recommended to the Committee by the 
Statewide Campaign Manager, approved, a 
list of all accepted organizations will he pre- 
pared by the Stato>' i 'ido Combinod Com 
paign Advir f OP r f Committoo Statewide 
Campaign Manager and distributed to all 
applicants. The State Campaign Manager 
will submit to the State Combined Cam- 
paign Director the name of an agency to 
serve as the local campaign manager. The 
Campaign Director will approve or reject 
the State Campaign .Manager's recommen- 
dation and has the right to name the Local 
Campaign .Manager. 44*& oraanizations wiU- 
d e cid e among thomnQlvoc which agonoy wiji 
ooP i O a* tfee local campaign manager. Pef 
Ae purpose &f deciding e«- tlw manager, Ae 
accepted agencies wiU- be divided iftto three 
groups, each »f ' ■ ' i hich wiili have e«# vote. 
¥be groups vrili h^ 
(a) Unitod Wayt 
fb^ National H e alth: sif^ 
fe^ Independent i\genoies. 

The local campaign manager is responsible 
for the printing and distribution of campaign 
literature, the collection of pledge reports 
and en\elopes from the state agency volun- 
teers, the development of campaign reports, 
and the forwarding of one copy of each 
payroll deduction pledge to the Statewide 
Campaign Manager master account. 4ft ad- 
dition, aft e nd of campaign r e port shall be 
seft* te tl*e master account for inclusion in 
the required fiscal reports. 
Note: A contract between the state and the 
Statewide Campaign Manager, and the state and 
local manager, will be executed in order to de- 
velop an acceptable audit trail. The contract 
contracts will allow a reasonable charge for cam- 
paign expenses to be claimed by the Statewide 
Campaign Manager and the local manager. This 
amount ><^ h% approved by the state. AU terms 
and conditions of these contracts are subject to 
re\iew and approval by the Campaign Director. 

Statutoty Authority G.S. 1438-10; 143-3.3. 

SECTION .0200 - ELIGIBLE ORGANIZATIONS 

.0202 CRITERIA FOR ACCEPTANCE 

Organizations must meet the following criteria 
to be accepted as participants in the Combined 
Campaign: 



(1) The organization must be licensed to so- 
licit funds in North CaroUna. 

(2) Must be directed by an active Board of 
Directors, which meets regularly and whose 
members serve without compensation. 

(3) Have tax exempt status for both the IRS 
and N.C. tax purposes. 

(4) Must prepare and make available to the 
general public an annual financial report, 
which vs certified by aft independent public 
accountant, or IRS Form 990. An excep- 
tion to this requirement is provided for any 
organisation which has filed its Articles of 
Incorporation with the Secretary' of State's 
Office as of March \^ of the preceding year 
of the current campaign. 

(5) If fundraising and administrative expenses 
are in excess of 25 percent of total revenue, 
must demonstrate to the satisfaction of the 
SECC that those expenses for this purpose 
are reasonable under all the circumstances 
of the case. 

(6) Must certify that all publicity and promo- 
tional activities are truthful and non- 
deceptive. 

(7) Must agree to the confidentiality of the 
contributor list, and must promise no unau- 
thorized use of this list. 

(8) Must permit no payments of commissions, 
kickbacks, finders fees, percentages, bonuses, 
or overrides for fundraising, and permit no 
paid solicitations of the public. 

(9) Must have a policy of non-discrimination 
on the basis of race, color, religion, sex, age, 
national origin or physical or mental hand- 
icap for clients of the agency, employees of 
the agency and members of the governing 
board. Agencies which have been organized 
along religious Lines, or which are organized 
to serve persons of a particular sex or race 
may be considered for eligibility if a bona 
fide purpose for organizing along such lines 
can be shown. 

(10) Must pro\ide benefits or services within 
the local community, meaning that employ- 
ees in the solicitation area or their families 
should be able to receive services from the 
agency within a reasonable distance, or re- 
ceive benefits from voluntary agencies. Ex- 
amples of services are: 

(a) research and education in the health and 
welfare or education fields; 

(b) family and child care services; 

(c) protective services for children and adults; 

(d) services for children and adults in foster 
care; 

(e) services related to the management and 
mamtenance of the home; 



6:14 NORTH CAROUNA REGISTER October 15, 1991 



930 



PROPOSED RULES 



(f) day care scnices for adults and children; 

(g) transportation sen.'ices, information refer- 
ral and counseling sersices; 

(h) the preparation and deliNcr." of meals; 
(i) adoption ser\ices; 

(j I emergency shelter care and relief ser%ices; 
(k) safety services; 

(1) neighborhood and community organiza- 
tion services; 
(mj recreation services; 
(n) social adjustment and rehabilitation ser- 

\ices; 
(o) health support senices; or 
(p) a combination of ser\'ices designed to meet 
the needs of special groups such as the el- 
derly or handicapped. 
Ho\ve\'er, an international organization 
which provides health and welfare services 
overseas, whose acti\ities do not require a 
local presence and which meet other eligi- 
bihty criteria, may be accepted for partic- 
ipation in the campaign. 

Statutotj Authority G.S. 143-10: 143-3.3. 

SECTION .0300 - .\PPI.IC\TION PROCESS .\ND 
SCHEDLLE 

.0301 SCHEDLLE 

Complete applications must be submitted to the 
State Campaign Committee by March 4- Febru- 
arv j_5 annually to be Included m the fall cam- 
p.ugn. Incomplete applications v4ii mav not be 
considered by the Committee. The Chair wiU 
forward all application materials to the Statewide 
Campaigi Manager within three working days 
after the closin'.: deadline. The Statewide Cam- 
paign .Manager wiU report to tlie Committee its 
recommendation on each application within 
three weeks o\_ the closmg deadline. The Com- 
mittee shall affirm or reiect the recommendation 
bv the Statewide Campaign Manager and wiU 
inform the Statewide Campaign Manager of its 
decision. 



tion under 150B-23 within iO 15 davs of notiti- 



cation dispatch date rocoi' i ing notic e of the 
appeal determination. An appeal wiU not be al- 
lowed to delay the start of the campaign. 

Statutory! Authority G.S. 1438-10; 147-62. 

.0303 FORM AND CONTENT OF 
.\PPLIC.\TION 

AH organizations seeking funding must submit 
an application to the state campaign. The ap- 
plication must include the State Emplo\ees 
Combined Campaign Certificate ot^ Compliance. 
Included in or attached to the Certificate of 
Compliance must be: 

(1) A letter from the Board of Directors indi- 
cating interest. 

(2) A complete description of serv ices provided, 
and the ser\ice area of the organization. 

(3) The most recent audited fmancial statement 
prepared bv a CPA. An exception to this 
requirement is provided for anv organization 
which has tiled its .-Vrticles of Incorporation 



with the SecretaPv' 



States Office 



of 



(4) 
(5) 
(6) 

(7) 



March _L of the preceding Near of the current 
campaign, fof (4*e prt." > iou ' j ; » L ' ar. including 
tbe moot recent audit. 

A board statement of assurance of non- 
discrimination. 

.A description of the origin, purpose and 
structure of the organization. 
A list of the current members of the Board, 
including addresses. 

A letter certifying compliance with the el- 
igibility standards listed m Rule .0202 of this 
Chapter including tax exempt status, licens- 
mg, and showing the percentage of funds 
expended in the categories of Program and 
Service, Management and General (.Admin- 
istrative) and Fundraising. 



Statutory Authority G.S. 143 B- 10; 143-3.3. 
SECTION .0400 - GENERAL PRO\ ISIONS 



Statutory Authority G.S. 143B-10: 143-3.3. 

.0302 RESPONSE 

.AH apphcants will be notified bv the Statewide 
Campaign Manager of th e ir accjptanco e* Fe- 
joction the Committee s decision within 30 days 
of the closing deadhne. An applicant who is 
dissatisfied with the determination of its applica- 
tion may file an appeal to the State .Advisory 
Committee within 10 da\s of the notification 
dispatch date. .An apphcant who is dissatisfied 
w ith the appeal determination of the Committee 
may commence a contested case by filing a peti- 



.0403 PA^ ROLL DEDUCTION 

Payment mav be made bv pavroU deduction, 
cash, pledge, or personal check. If an employee 
chooses to use the payroll deduction method of 
contributing, he she must agree to having the 
deduction continue for one year with equal 
amounts being taken from each check (montlily 
or biweekly depending on the payroU), All de- 
ductions will start with the January payroll and 
continue through December. If the emplo\"ee 
discontinues employment, or actively chooses to 
discontinue payment, the state will not be re- 
sponsible for the collection of the unpaid pledge. 



9n 



6:14 SORTH CAROLINA REGISTER October 15, 1991 



PROPOSED RULES 



No deduction will be made for any period in 
which the employee's net pay, after all legal and 
pre\iously authorized deductions, is insufficient 
to co\er the allotment. No adjustments will be 
made in subsequent periods to make up for de- 
ductions missed. 

Stalnloty Authority G.S. I43B-I0; 143-3.3. 

TITLE 7 - DKPAR IMENT OF CULTURAL 
RESOURCES 



iSotice i.% hereby given in accordance with G.S. 
1 508- 2 1. 2 that the Cultural Resources! Archives 
and History intends to adopt rule(s) cited as 7 
NCAC4P'.00l6. 

1 he proposed effective date of this action is 
February I, 1992. 



(3) Materials may not be removed from the 
offices of the Civil War Roster Branch. 



Th 



he public hearing will be conducted at 10:00 
a.m. on November IS, 1991 at Room 305, Ar- 
clmes and History, State Library Bldg., 109 E. 
Jones Street, Raleigh. 

Ixeason for Proposed Action: To provide for 
public use of research fdes in the Civil War Roster 
Branch and to implement a fee for photocopies of 
these research materials. 

C ommcnt Procedures: Written comments to 
Dr. Wm. S. Price Jr.. 109 E. Jones Street. 
Raleigh 27601-2807 by 5:00 p.m., Friday, No- 
vember 15. 1991. 

CHAPTER 4 - DIMSION OF ARCIH\ ES AND 
HISTORY 

SUBCHAPTER 4P - HISTORICAL 
PI BI.ICAIIONS SECnON 

.0016 CI ML WAR ROSTER RESEARCH 
FILES REGULATIONS 

Regulations governing public use of the research 
fdes in the othces of the ('nil War Roster Branch 
are as follows: 

( 1 ) Direct access to the service record materials 
in the tiles of the (ri\il War Rosier Branch 
shall be bv appointment only at reasonable 
limes under the supcr\ision of the head of 
the Civil War Rosier Branch. 

(2) Direct access shall be granted i£ in the 
judgment of the head a[ the Ci\il War Ros- 
ter Branch, the research to be undertaken 
cannot be duplicated in the search room of 
the stale archnes. 



(4) Photocopies will be made on an ^as you 
wait" basis if the equipment and an operator 
are available. The costs of such photocopies 
shall be the same as those charged by the 
state archives as contained in Subchapter 
4.\1, Section .01 UP, Rule .011)5(8), cM this 
Chapter. 



Statutory Authority G.S. 
121-6(a); l43B-62{ 1 )a..g. 



I2I-4(4).(5).(I4): 



TITLE 10 - DEPARTMENT OF HUM.AN 
RESOURCES 



I\ otice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Human 
ResourcesI Division of Medical .4 ssislance intends 
to amend rule(s) cited as 10 NCAC 26H .0504. 

1 he proposed effect'n>e date of this action is 
Febmary 1, 1992. 

1 he public hearing will be conducted at 1:30 
p.m. on November 14, 1991 at the North Carolina 
Division of .Medical Assistance. 19S5 L'mstead 
Drh'e. Room 297. Raleigh. North Carolina 27603. 

I\eason for Proposed .Action: The Dhision now 
has hospital lower le\'el skilled care and interme- 
diate care payment rates available. 



Co 



omment Procedures: Written comments con- 
cerning this amendment must be submitted by: 
November 14, 1991, to: Division of .Medical As- 
sistance, 19S5 Umstead Drive, Raleigh. N.C. 
27603, ATTN.: Bill Hottel. APA Coordinator. 
Oral comments may be presented at the hearing. 
In addition, a fiscal impact statement is available 
upon written request from the same address. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SLBCHAPTER 2611 REIMBURSEMENT PLANS 

SECTION .0500 - REIMBl RSEMENT FOR 
SERMCES 

.0504 INPATIENI HOSPITAL: 

INAPPROPRIAIE LE\ EL OF CARE 

(a) No 44ti* i . tulu agency may grant a maximum 
ef threo administrative days will be granted to 
arrange for discharge of a patient to a lower 
le\'el-of-care. Willi piior approval bv tl» State 
.Medicaid jNgency. 1 lowever. the hospital may be 
reimbursed fof day; . » eKCLV i Cj ef y*** three rt4- 



6:14 NORTH CAROLL\A REGLSTER October L\ 1 991 



932 



PROPOSED RULES 



miniotrati' i L' days at the state-wide average rate 
for tfee particular Ic i ol of caro intermediate nurs- 
ing care, skilled nursing care or \entilator- 
depcndcnt nursing care needed in the event a 
lo' i ver lu' i ul ol caro bed in a Medicaid approved 
health care institution is not available. The hos- 
pitd must, however, make e\er\- effort to place 
the recipient in an appropriate institution, ^'ithin 
i}pte tliroij 4ȴ admini -. tratis e time aUowanco. 
Prior appro \al bv the State Medicaid agency for 
the lower lc\el of care is required m accordance 
with ]n N( AC 26B .11 IPS and K) NCAC 26B 
.(U14. 



(b) This policy applies to: 

(1) acute care hospitals; 

(2) mental hospitals: 

(3) speciality hospitals. 

Authoriiv G.S. 10SA-25(b); 42 C.F.R. 447.253; 
S.L. !9S5. c. 479, s. 86. 

TITLE 1 1 - DEPARTMENT OF 
INSL RANGE 

l\otice is hereby given in accordance with G.S. 
150B-21.2 that the S.C. Department of Insurance 
intends to adopt ruleisl cited as 11 SC.-iC 1 IC 
.0130. 



Th 



he proposed effcctix-e date of this action is 
Fcbruai-v 1. 1992.' 



1 nstructions on hmv to demand a public hearing 
{must be requested in writing within 15 days of 
notice): Submit in writing, by certified mail, re- 
turn receipt requested, the request to William K. 
Hale. Dcpt. of Insurance, P.O. Box 26387, 
Raleigh. .\.C. 27611. 

iXeason for Proposed .Action: The nde replaces 
statutes that were inadvertently repealed she 
montlis before the effecti\-e date of the statutes 
that will replace the repealed statutes. 



Co 



ommenl Procedures: Written comments may 
be sent to Ray .Martinez, P.O. Box 26387, 
Raleigh. SC 2~'611. Anyone having questions 
should call Rav Martinez'at (919) 733-2002, or 
Ellen Sprenkeiat (919) 733-4529. 

LLditor's Sote: This Rule was filed as a tempo- 
rary- rule effecti\-e September 12. 1991 for a period 
of' ISO day's to expire on .March 10. 1992. 

CH.\PIKK 11 - UNANCIAL EV.ALL.\TION 
DIMSION 



SUBCHAPTER IIC - ANALYSIS AND 
EXAMIN.\T10NS 

SECTION .0100 - GENERAL PROVISIONS 

.0130 CREDrr FOR REINSURANCE 

(a] As used m this Rule and in G_S. 5S-7-30 
and G.S. 58-7-32: 



( 1) "Insurance risk" means an uncertaintv re- 
garding the ultimate amount of anv claim 



pa\ment (underwnting nsk) or an uncer- 
tainty regarding the timing of such pa\- 
ments (timing risk). 



(2) 'insurer" includes an underwriting mem- 



01 
Hi 



her of an insurance exchange. 
'LiabUitN" includes all reserves. 



"Reinsurance" means a transfer of insur- 



ance nsk from a ceding insurer to an as- 



suming insurer. 



(5) "Same standards of soh encv" means, at a 
minimum, the capital and surplus re- 
quirements applicable to a domestic 
insurer transactmg the same lines of irv 
surance or reinsurance. 



(b) Credit for reinsurance shall be allowed a 
domestic ceding insurer as either an asset or a 
deduction from liability on account of reinsur- 
ance ceded only when: 



rhe reinsurance is ceded to an assuming 



insurer that is hcensed to transact insur- 



ance or reinsurance or otherwise accred- 



ited as a reinsurer in this State: or licensed 
in aX least one state that employs stand- 
ards regarding credit for reinsurance sub- 
stantially similar lo_ those applicable under 
this Paragraph and the assuming insurer 
conforms to the same standards of 
solvency that would be required of the 
insurer if it were hcensed in this State: or 
(2) The reinsurance is ceded to an assuming 
insurer that maintains a trust fund in a 
Inited States bank or trust company for 
the payment of the \alid claims of its 
I nited States polic\'holdcrs and ceding 
insurers and their assigns and successors 
in interest. To enable the Commissioner 
to detenninc the sufticiencv of the trust 
fund, the assuming insurer shall annualh' 



report to the Commissioner infonnation 
substantially the same as that required to 
be reported bv licensed insurers on the 
National .Association of Insurance Com- 
missioners annual statement fonn. In the 
case of a single assuming insurer, the trust 
shall consist of a trusteed account repres- 
enting the assuming insurer s liabilities at- 
tnbutablc to business wntten in the 
I nited States and. in addition, shall in- 



clude a trusteed surplus of not 



than 



933 



6:14 NORTH CAROLIN.A REGISTER October 15, 1991 



PROPOSED RULES 



twenty milUon dollars ($20.000,000). In 
the case of a group of individual 
unincorporated underwriters, the trust 
shall consist of a trusteed account repres- 
enting the group's liabilities attributable 
to business written in the United States 
and, in addition, shall include a trusteed 
surplus of not less than one hundred 
million dollars ($100.000.000); and tjie 
group shall make available to the Com- 
missioner an annual certification of the 
solvency of each underwriter by the 
group's domiciliary regulator and its inde- 
pendent public accountants. This trust 
shall be established in a form approved 
by the Commissioner in a United States 
bank or trust company that is a member 
of the Federal Reserve System. The trust 
instrument shall provide that contested 
claims shall be \'alid and enforceable upon 
the final order of any court of competent 
jurisdiction in the United States. The 
trust shall vest legal title to its assets in the 
trustees of the trust for its l.'nited States 



(4) 



policyholders and ceding insurers and 
their assigns and successors m interest. 
The trust and the assuming insurer shall 
be subject to examination as determined 
by the Commissioner. I he trust de- 
scribed in this Subparagraph must remain 
in effect for as long as the assuming 
insurer has outstanding obligations due 
under the reinsurance agreements subject 
to the trust. No later than I-ebruar\' 28 
of each year the trustees of the trust shall 
report to the Commissioner in wnting, set 
forth the balance of the trust, and list the 
tRist's investments at the preceding year's 
end; and shall certify the date of termi- 
nation of the trust, if so planned, or certify 
that the trust shall not expire prior to the 
following December 31; or 
(3) The reinsurance is ceded to an assuming 
insurer not meeting the requirements of 
Subparagraphs (b)( 1) or (b)(2) of this 
Rule, but only with respect to the insur- 
ance of risks located in jurisdictions other 
than the United States where such rein- 



surance is required by applicable law or 
regulation of that jurisdiction: and 
The reinsurance is documented by a pol- 
icv, certificate, treaty, or other fonn of 



of his authority to assume reinsurance for 
and on behalf of the assuming insurer. 
The evidence shall consist of either an ac- 
ceptable letter of authority executed by an 
authorized officer of the assuming insurer 
or a copy of the actual agency agreement 
between the underwriting manager or 
agent and the assuming insurer; and the 
evidence shall be specific as to the classes 
of business within the authority and as to 
the term of the authority. 



(c) If the assuming insurer is not licensed or 
accredited to transact insurance or reinsurance in 
this State, the credit permitted by Subparagraphs 
(b)(1) and (b)(2) of this Rule shall not be allowed 
unless the assuming insurer agrees in the reinsur- 
ance agreements: 

(1) That in the event of the failure of the as- 
suming insurer to perform its obligations 
under the terms of the reinsurance agree- 
ment, the assuming insurer, at the request 
of the ceding insurer, will submit to the 
jurisdiction of any court of competent ju- 
risdiction in any state of the United States, 
will comply with all requirements neces- 
sary to .give that court jurisdiction, and 
will abide bv the final decision of that 
court, or of any appellate court in the 
event of an appeal; and 

(2) "1 hat the assuming insurer will designate 
the Commissioner as its true and lawful 
attorney upon whom may be served any 
lawful process in any action, suit, or pro- 
ceeding instituted bv or on behalf of the 
ceding company. 

This Paragraph shall not conflict with the obli- 
gation of parties to a reinsurance agreement to 
arbitrate their disputes, if such an obligation is 
created in the agreement. 

(d) A reduction from liability for reinsurance 
ceded to an assuming insurer that does not meet 
the requirements of Paragraphs (a) through (c) 
of this Rule shall be allowed in an amount that 
does not exceed the liabilities carried by the ced- 
ing insurer for funds held bv or on behalf of the 
cedmg insurer, including funds held in trust for 
the ceding insurer, under a reinsurance contract 
with the assuming insurer as security for the 
payment of obligations under the contract, if that 
security is held in the United States subject to 
withdrawal solely by, and under the exclusi\e 



agreement that is properly executed by an control of the ceding insurer; and, in the case of 



authorized officer of the assuming iasurer. 
In the e\ent that the reinsurance is ceded 
through an underwriting manager or 
agent, the manager or agent shall pro\ide 
to the domestic ceding insurer evidence 



a trust, held in a United States bank or trust 
company that is a member of the Federal Re- 
sen'e System. "I his secunty may be in the form 
of 

Q} Cash; 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



934 



PROPOSED RULES 



(2) Securities that are listed by the Securities 
\aluation OtTicc of the National Associ- 
ation of Insurance Commissioners and 
that are qualified as admitted assets; 

(3) ("lean. irre\ocable, unconditional letters 
of credit, issued or confirmed bv a bank 
or trust companx that is a member of the 
{ ederal Reser\e System: or 

(4) .\n\' other form ot secunty that is accept- 
able to the Commissioner. 

(e) A foreign or alien insurance company may 
be admitted and authorized to do business when 
it satisfies the Commissioner that it is m sub- 
stantial compliance with the pro\isions of this 
Rule. G.S. 5S-7-31). and G.S. 58-7-32. 

Statulory Auihoniy G.S. 5S-2-40{ Ij; 5S-7-I. 

TITLE 21 - OCCl PATIONAL LICENSING 
BOARDS 



No 



otice is hereby given in accordance with G.S. 
150B-21.2 that the \.C. Stale Board of Certified 
Public .-iccountant Examiners intends to amend 
ruk(s) cited as 2/ .\CAC 8G .0306; and adopt 
ruleis) died as 21 SC.-iC SG .03/3. 



Th 



he proposed effective dale of this action is 
.March I, 1992. 



Th 



he public hearing will be conducted at 10:00 
a.m. on December 16, 1991 at the \.C. State 
Board of CP.4 Examiners, 1 10 J Oberlin Road. 
Suite 104, Raleigh, SC 2"605. 

IXeason for Proposed Action: The Board was 
requested by licensees for amendment to the rules. 

K^ ommenl Procedures: Any person interested in 
these rules may present oral comments relevant to 
the action proposed at the public rule-making 
hearing or deliver written comments to the Board 
office not later than 5:00 p.m., Monday, Decem- 
ber 2, 1991. .4 ny one planning to attend the hear- 
ing should notify the Board office by 5:00 p.m. on 
.Monday, December 2, 1991. whether they wish to 
speak on the proposals and whether they will 
speak in favor or against them. Anyone speaking 
on the proposals will be limited to 10 minutes. 

Editors .\oie: 21 .\CAC SG .0313 has been 
filed as a temporaiy adoption effective September 
25. 1991 for a period of ISO days to expire on 
March 22, 1992. 



CFIAPTER 8 - BO.\RD OF CERTIFIED PUBLIC 
ACCOLNTANT EXAMINERS 

SLBCHAPTER 8G - PROFESSIONAL ETHICS 
AND CONDUCT 

SECTION .0300 - OTHER RESPONSIBILITIES 

.0306 FIRM NAME OR STYLE OF A 
PRACTICE 

Any person, partnership, professional corpo- 
ration or professional association engaged in the 
practice of public accountancy (as defined in 21 
NCAC 8A .0307 and .0308), other than existing 
firms practicing in the name of current or former 
partners or shareholders, must use the uords 
"Certified Pubhc Accountant(s)" or "CPA(s)" 
as part of or with their firm name. Use by a 
CPA practicing public accountancy by himself 
of any name other than his own name, or use by 
a partnership, a professional corporation or a 
professional association engaged in the practice 
of public accountancy of any name other than 
the names of one or more of its current or former 
partners or shareholders, must be approyed in 
advance by the Board. 

Statutory .Authority G.S. 55B-5; 93-12(9). 

.0313 FIRM NAME 

Notwithstanding any other provisions of these 
Rules, any existing firm practicing m the name 
of current or former p^irtners or shareholders is 
not required to use the words "Certified Public 
■-\ccountant(s)" or "CF'.\(s)" as part of or with 
its firm name. 

Statutory Authority G.S. 55B-5; 93-12(9). 

'k'k-k'k'k'k-k-k'k'k'k'k-k-k'k-k'k-k 



ly Otice is hereby gi\en in accordance with G.S. 
150B-21.2 that the Board of Medical Examiners 
of the State of S'orih Carolina intends to amend 
rule(si cited as 21 \CAC 32B .0101, .0305, .0314 
- .0315. 

1 he proposed effective date of this action is 
February 1, 1992.' 

1 he public hearing will be conducted at 8:00 
a.m. on Sovember 14. 1991 at the Embassy Suites 
Hotel. 4700 Creedmoor Road. Raleigh. S .C. 

JXeason for Proposed .Action: Rule .0101 - De- 
finition is added to define a term included in 
amendments to titles within Subchapter 32B. Rule 
.0305 - To provide other avenues for licensure. 



935 



6:14 SORTH CAROLIS.A REGISTER October 15, 1991 



PROPOSED RULES 



Rule .0314 - To reflect amendment to Rule .0305. 
Rule .03/5 - Allow the Board discretion in ac- 
cepting continuing medical education as a quali- 
fication for licensure. 

(^ omment Procedures: Persons interested may 
present oral statements relevant to the actions 
proposed at a hearing to be held as indicated 
above. Written statements not presented at the 
hearing should be directed to the following ad- 
dress: Administrative Procedures, NC Board of 
Medical Examiners. P.O. Box 26808, Raleigh, 
NC 27611-6808. 

CHAPTER 32 - BOARD OF MEDICAL 
EXAMINERS 

SLBCHAPTER 32B - LICENSE TO PRACTICE 
MEDICINE 

SECTION .0100 - GENERAL 

.0101 DEFINITIONS 

The following definitions apply to Rules within 
this Subchapter: 

(1) ACGME - Accreditation Council for 
Graduate Medical Education. 

(2) AOA - American Osteopathic Association. 

(3) Board - Board of .Medical Examiners of the 
State of North Carolina. 

(4) ECP'.MG - Educational Commission for 
Foreign Medical Graduates. 

(5) Fifth Pathway - an avenue for licensure as 
defmcd in the Directory of Accredited Resi- 
dencies 1977-1978, /Vmcrican .Medical Asso- 
ciation, pp. 30-32. The Directory is adopted 
by reference under G.S. 1 SOB- 14(b). 

(6) FLEX - Federation Licensing Examina- 
tion. 

(7) LC.ME - Liaison Commission on Medical 
Education. 

(8) SPEX - Special Purpose Examination. 

(9) A.MA Physician's Recognition Award - 
A.MA recognition of achievement by physi- 
cians who have voluntarily completed pro- 
grams of continuing medical education. 

(10) .American Specialty Boards - specialty 
boards approved by the American Board of 
.Medical Specialties. 

Statutory! Authority G.S. 90-6. 

SECTION .0300 - LICENSE BY ENDORSEMENT 

.0305 EXAMINATION BASIS FOR 
ENDORSEMENT 

(a) To be eligible for license by endorsement 
of credentials, graduates of medical schools ap- 
proved by the LCME or AOA must supply cer- 



tification of passing scores on one of the 
following written examinations: 

(1) National Board of Medical Examiners; 
FLEX - under R«te M4i Rule .0314 of 
this Section; 



(2) 

(3) 



Written examination other than FLEX 
from the state board which issued the or- 
iginal license by written examination; or 
(4) National Board of Osteopathic Examiners, 
aU parts taken after January J^ 1990. 

(b) Graduates of medical schools not approved 
by LC.ME or AOA must supply certification of 
passing scores on one of the following written 
examinations: 

(1) FLEX - under forie J^Ui Rule .0314 of 
tliis Section; aft4 or 

(2) Written examination other than' FLEX 
from the state board which issued the ap- 
plicant's original license by written exam- 
ination together with American Specialty 
Board certification. 

(c) A physician who has a valid and unre- 
stricted license to practice medicine in another 
state, based on a written examination testing 
general medical knowledge, and who within the 
past five years has become, and is at the time of 
application, certified or recertified by an /Vmeri- 
can Specialty Board, is eligible for license by 
endorsement. 

(d) Applicants for license by endorsement of 
credentials with l" I EX scores that do not meet 
the requirements of Rule .0314 of this Section 
must meet the requirements of Paragraph (c) of 
this Rule. 

Statutory Authority G.S. 90-/0; 90-/3. 

.0314 PASSING FLEX SCORE 

Physicians who have boon liconsod i» anoth e r 
fitato »» y«» basis ef a taken the FLEX exam- 
ination may be eligible to apply for a license by 
endorsement of credentials if they meet the fol- 
lowing score requirements: 

(1) FLEX taken before January I, 1983 - A 
FLEX weighted average of 75 or more on a 
single three day examination is required. 

(2) FLEX taken after January I, 1983 - A 
FLEX weighted average of 75 or more on a 
single three day examination, with a score 
not less than 70 on Day 1, a score not less 
than 75 on Day 11, and a score not less than 
75 on Day III, is required. 

(3) FLEX taken after January 1, 1985: 

(a) A score of at least 75 on FLEX Compo- 
nent I and a score of at least 75 on FLEX 
Component II is required. 

(b) Components may be taken in tandem. 
Any component that is failed may be re- 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



9.U 



PROPOSED RULES 



(c) 



taken; however, Component II may not 

be taken alone unless the applicant has 

passed Component I within the last se\'en 

years. 

Both components must be passed within 

seven years of the date of taking the initial 

examination. 



Statutory Authority G.S. 90-6; 90-/0: 90-/3. 

.0315 TEN YEAR QUALIFICATION 

(a) To be eligible for license by endorsement 
of credentials, an applicant who has not met one 
of the following qualifications within the past ten 
years of the date of the application to the Board, 
must take the SPEX, or other examination as 
determined by the Board, and attain a score of 
at least 75: 

(1) National Board of .Medical Examiners 
certification; 



(2) FLEX scores as required under Rule .0314 
of this Section; 

(3) SPEX score of at least 75; 

(4) certification or re-certification from a spe- 
cialty board recognized by the American 
Board of Medical Specialties; or 

(5) complotod completion of formal postgrad- 

uate medical education as required under 
Rule .0313 of this Section. 
(4^ i\Mj\ Phycician's Rocognition Award. 

(b) The SPEX requirement may be waived 
upon receipt of a current AMA Physician's Re- 
cognition Av\3rd. 

(c) This requirement is in addition to all other 
requirements for licensure and may be applied as 
the Board deems appropriate. 

Statutory Authority G.S. 90-//; 90-/3. 



937 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



/\. dopted rules filed by the Department of Revenue are published in this section. This department 
is not subject to the provisions o/G.S. I50B, Article 2 requiring publication in the N.C. Register of 
proposed rules. 

Ejffective October /, 1991, the Departments of Con-ection and Revenue are subject to G.S. I SOB, 
Article 2 A. The rules appearing in this section were filled prior to October 1 , 1991 and are not subject 
to the notice requirements. 

LJpon request firom the adopting agency, the text ofi rules will be published in this section. 



TITLE 5 
DEPARTMENT OF CORRECTION 

CHAPTER 2 - DIVISION OF PRISONS 

SUBCHAPTER 2A - ORGANIZATION AND PERSONAL CONDUCT (REPEALED) 

SECTION .0100 - ORGANIZATION OF THE DIVISION OF PRISONS 

.0101 GENERAL 

.0102 SECTION CHIEFS \MTH SPECIFIC MANAGEMENT FLECTIONS 

.0103 SECTION CHIEFS WTFH AUTHORITY OVER FACILITIES 

History Note: Statutory Authority G.S. I43B-10; 148-4; 148-11; 148-19; 148-22; 
Efifi February /, 1976; 
Repealed Eff November I, 1991. 

SECTION .0200 - CONDUCT OF EMPLOYEES 

.0201 GENERAL 

.0202 CONDITIONS OF EMPLOYMENT 

History- Note: Statutory Authority G.S. 14S-3; 148-11; 148-23; 
Efifi February 1, 1976; 

Amended Efifi July 1, 1987; May 1, 1987; August 1, 1983; 
Repealed Efifi. November 1 , 1991 . 

SECTION .0300 - APPEARANCE REGULATIONS 

.0301 GENERAL 
.0302 APPEARANCE 

History Note: Statutorv Authority G.S. 143B-262; 148-11; 
Efifi November 1, 1976; 
Repealed Efifi. November 1 , 1991. 

SECTION .0400 - EMPLOYEE PERFORMANCE APPRAISAL 

.0401 GENERAL 
.0402 PROCEDURES 

Histoiy Note: Statutory .Authority G.S. I43B-261.1; 143B-36I.1; 
Efifi December 12. 1977; 
Repealed Efifi. November 1 , 1991 . 



6:14 NORTH CAROLINA REGISTER October 15, 1991 938 



FINAL RULES 



SECTION .»>5(M) - CERTIFICATION REQUIREMENTS FOR EDUCATIONAL PERSONNEL 

.0501 GENERAL 

.0502 DEFINITIONS AND EMPLOYMENT STANDARDS 

.0503 PROMSIONAL CERTIFICATION 

.0504 CERTIFICATION AND CERTIFICATION RENEWAL 

.0505 FAILURE TO MAINTAES CURRENT CERTIFICATION 

.0506 CERTIFICATION RENEWAL PROCEDURE 

.0507 IN-SERMCE TRAFSFSG FOR TEACHERS 

.05(»8 SALARY SCHEDULES OF CERTIFICATED PERSONNEL 

.0509 STATEMENT OF JOB DUTIES AND RESPONSIBILITIES 

.0510 HIRFSC. PROCEDURES 

History Note: Statutory Authoritv G.S. II5C-II0: II5C-295: II5C-296; II5C-297: 
Eff. July I, I9S5; 
Repealed Eff. November I, 1991. 

SUBCHAPTER 2B INMATE CONDUCT RULES: DISCIPLESE 

SECTION .0100 - GOOD TIME AND GAIN TIME 

.0101 PURPOSE 

(a) The General Statutes authorize the awarding of various sentence reduction credits to selected in- 
mates. The awarding of such credits ser\'es as an incentive for inmates to be productive and act 
responsibly. Effective and efticient allocation of good time and gain time awards is a critical element 
for maintaining order, security, and appropriate management of the inmate population. 

(b) Tliis policy establishes a method of computing sentence reduction credits in the form of Good 
Time for satisfactory behavior. Gain Time for participation in work or program assignments, and 
meritorious time for behavior or specific acts not normally required of an inmate. This policy applies 
to inmates confined in any facility in the Division of Pnsons of the North Carolina Department of 
Correction, a jail, a regional confinement facility, a "County Farm", or any other local confinement 
facility established for the incarceration of con\icted offenders. 

History Note: Statutoty Authoritv G.S. I4S-II: 148-13; J5A-/340.7; 
Eff Febniarv I. 1976; 

Amended Eff November I. 1991; September I, I9S3; February I, 1982; 
February 23. 1981. 

.0102 GOOD TIME 

(a) Award of Good Time. With the exception of those inmates serving sentences as specified in Rules 
.0106, .0107, and .0108 and those inmates con\icted of Class A and B felonies committed after the Fair 
Sentencing Act became effective, all inmates shall be awarded good time credits at the rate of one day 
deducted from the inmate's prison or jail term for each day the inmate spends in custody without a 
major infraction of prison conduct rules. 

(b) Forfeiture. Good Time shaJl be subject to forfeiture through disciplinan,^ action for con\'iction 
of major infractions as the result of violations of prison conduct rules. 

(c) Restoration of Forfeited Good Time. Good Time forfeited through disciplinary action may be 
restored by unit superintendents, area administrators, institution heads, and, in the case of inmates 
confined to local confinement facilities, the sherifi" or administrator of a regional confinement facility. 
Such restoration shall be based upon documented incidents of improved behavior by the inmate. 

History Note: Filed as a Femporary Amendment Eff. April I , I9S3 for a 
Period of 60 Days to Expire on June f J983: 
Statutory Authority G.S. 148-11; 148-13: ISA- 1 340.7; 
Eff February I. 1976: 
Amended Eff November I, 1991: April I, 1985; September I. 1983: June I, 1983. 

.0103 GAIN IIME 



939 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(a) Regular Gain Time. Inmates other than those convicted of felonies committed after the effective 
date of the Fair Sentencing Act who perform work, whether full-time or part-time, or participate in 
specific training programs which would assist their productive re-entry into the community, shall be 
allowed sentence reduction credits which shall be regulated as Regular Gain Time I, II, and III. Reg- 
ular Gain Time shall not be subject to forfeiture for misconduct and shall be administered as follows: 

(1) Regular Gain Time I. In addition to Regular Good Time credits, inmates who perform short- 
term work assignments and/or who participate in specific training programs requiring a mini- 
mum of four hours of productive activity per day shall receive credit at the rate of two days per 
month. 

(2) Regular Gain Time II. In addition to the Regular Good Time credits, all inmates who satis- 
factorily perform job assignments and/or who participate acceptably in specific training pro- 
grams requiring a minimum of six hours per day shall receive credit at the rate of four days per 
month. 

(3) Regular Gain Time III. In addition to Regular Good Time credits, all inmates performing as- 
signed jobs with requirements for special skills or specialized responsibilities such as specialised 
maintenance, cook, equipment operator, canteen operator, or inmates participating in fulltime 
specific training programs requiring a minimum of six hours per day shall receive credit at the 
rate of six days per month. 

(b) Fair Sentence Gain Time. Inmates convicted of felonies committed on or after the effective date 
of the Fair Sentencing Act shall be allowed sentence reduction credits which shall be regulated as Fair 
Sentence Gain Time I, II, and III. The credit received shall be calculated for work performed as listed 
in Rule .0103(a)(1), (2), and (3). Credit shall be received for participation in study and rehabihtative 
programs after June 3, 1985, as calculated by using the categories in Rule .0103(a)(1), (2), and (3). 

(c) Meritorious Time. The Director of the Division of Prisons or the Director's designated repre- 
sentative may award additional sentence reduction credits to deserving inmates. Such awards shall not 
exceed 30 days per month for work pertormed nor 30 days for each act of exemplary conduct. Con- 
sideration for meritorious time awards will be based upon the following categories; 

(1) Work Performed. 

(A) Overtime. Overtime is defmed as satisfactory performance in a job and/or program activity 
beyond a regular forty-hour work week. Inmates assigned to the Work Release Program are 
not eligible to receive overtime based on a work release job. Fair Sentence inmates are not eli- 
gible to receive overtime based upon a program assignment. Fair Sentence inmates may receive 
overtime based on work performed. 

(B) Adverse Working Conditions. Inmates are eligible for additional sentence reduction credit for 
work performed during inclement weather. Inclement weather is defmed as a chUl factor of 
below 20 degrees Fahrenheit or a temperature above 95 degrees Fahrenheit. Such conditions 
may include rain, sleet, snow, or other unusual or abnormal circumstances as determined by the 
appropriate approving authonty. 

(C) Fmergency Conditions. Inmates are eligible for additional sentence reduction credits for work 
performed during emergency conditions. Facility Superintendents will determine when an 
emergency condition exists. Such emergency conditions may include power failures, forest fires, 
work stoppages, riots, state-wide emergencies established by the State Emergency Response 
network or other similar emergency conditions. 

(2) Exemplary Conduct. 

(A) Exemplary Acts. Inmates are eligible for additional sentence reduction credits, not to exceed 
30 days for each act, based upon the performance of exemplary acts. Exemplary acts are defmed 
as unusual deeds or acts performed by an inmate. 

(B) Exceptional Educational Achievements. Inmates attaining an educational degree are eligible 
for additional sentence reduction credits at a rate of 30 days per achievement. These awards are 
limited to successful completion of the General Educational Development Test (GED), receipt 
of a vocational trades license or trades certification based on successful completion to a formal 
program of vocational course work and supervised training, the attainment of a Associate of 
/Vrts or Science Degree (i\A. AS), or the achievement of a Bachelor of /Vrts or Science Degree 
(BA, BS) or Graduate Degree (MA, MS, Ph.D., etc.). Inmates identified as Exceptional Stu- 
dents Program participants or other irmnates identified as special students by educational au- 
thorities may be awarded an additional five days per month for documented positive progress 
towards established educational goals in keeping with their individual education plans. 

(3) Prison Population Reduction. Irmiates may be eligible for additional sentence reduction credits 
for good conduct during prison population reduction pursuant to G.S. 148- 13(b) and (d). 



6:14 NORTH CAROLINA REGISTER October 15, 1991 940 



FINAL RULES 



History Sole: Filed as a Femporary Amendment Fff. March 21 , 1987 
For a Period of 43 Days to Expire on Slav 1 , 1987; 
Statutory Authority G'.S. 148-11; 148-13;' I5A-I340.7; 
Fff. February I, 1976; 
Amended Fff. Smember 1, 1991: May I. 1987; October I, 1983; September I, 1985. 

.0104 PROCEDURE 

(a) Recording Sentence Reduction Credits. 

( 1 ) Recording. Ciood lime will he computed automatically on the inmate's record. Gain Time, 
.Meritorious Time, and Restored Good Time awards must be initiated by the unit superinten- 
dent or institution head upon the designated reduction credit form and shall be approved as 
provided in Paragraphs (b) and (c) of this Rule. Transfers automatically terminate Regular and 
I'air Sentence (jain lime status for inmates in the custody of the Division of Prisons. 

(2) Accumulation. Meritorious Time awards will be accumulated and recorded on an hour for hour 
basis including credits accumulated for part-time assignment or for multiple part-time activity 
participation and submitted in whole days, except such credits may be authorized for an 
exemplary act at a rate not to exceed 30 days for each act to the appropriate approving authority. 
A whole day is defined as eight hours. 

(3) Local Confinement Facilities. In the case of inmates confined to local confinement facilities, 
pursuant to court commitment, the sheriff or administrator of a local confinement facility shall 
establish procedures for granting, approving, and documenting sentence reduction credits. In 
the case of inmates confined to local confinement facilities, pursuant to a contractual agreement 
with the Department of Correction, the sheriff or administrator shall forward recommendations 
for granting sentence reduction credits to the Di\isian of Prisons' designated approving authority 
as listed in .0104(b). The Division of Prisons' approvmg authority will cither approve, modify, 
or disapprove the award. All Di\ision of Prisons' authoriized credits shall be recorded upon the 
sentence reduction credit form. 

(4) Recommendations and Submission. Sentence reduction credits will be submitted only by the 
unit of pennancnt assignment for inmates in the custody of the Division of Prisons. Rec- 
ommendations for sentence reduction credits for such inmates housed temporarily at a prison 
facility other than the regular unit of permanent assignment will be forwarded to the unit of 
permanent assignment for approval and recording documentation. 

(b) /Vppro\ing Authorities. Sentence reduction credit awards are subject to approval as foUows: 

(1) Unit superintendents shall have authority to approve Gain Time awards and to approve Meri- 
torious Time awards and to make lost good time restoration awards not to exceed 10 days per 
month per inmate. 

(2) Institution heads shall have authority to approve Gain Time awards and to approve Meritorious 

lime awards and to make lost good time restoration awards not to exceed 30 days per month 
per inmate. 

(3) Area administrators shaU have authority to approve Meritorious Time awards and to make lost 
good time restoration awards not to exceed 30 days per month per inmate. 

(4) ,AU .Meritorious Time awards and restoration of lost good time awcirds which exceed 30 days in 
a month must be approved by the Director of the Division of Pnsons. 

llisioty Sote: Statutory Authority G.S. 13 A- J 340.7; 148-11; 148-13; 
Fff February 1. 1982; 
Amended Fff Sovember 1. 1991; August I. 1986: September 1, 1983. 



SECTION .0200 - DISCIPLINARY PROCEDURES 

.0201 GENERAL 

(a) Initial. vVny member of the state correction service or other authorized person who witnesses 
what appears to be an act of misconduct by an Lnmate should take appropriate action to pre\ent con- 
tinuation of any actual misbehavior by that inmate. Counseling may be suilicient and should be tried 
when no additional action appears necessary to stop the misbehavior and prevent a recurrence. As- 
sistance should be obtained from other persormel when needed to enforce discipline with minimum risk 



941 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



to persons or property. The inmate may be placed in administrative segregation when this action ap- 
pears to be necessary to control that inmate or to prevent further disorder. 

(b) Reports. When an observer of apparent misconduct by an inmate concludes that counseling wLU 
not be sufficient action because the suspected offender does not appear responsive or because of the 
seriousness of the suspected offense or when an inmate observes serious misconduct, the observer 
should report the matter to the officer designated by the superintendent to investigate offenses com- 
mitted. 

(c) Investigations 

(1) The designated officer should begin his investigation as soon as possible, and in any event within 
24 hours after being notified of a suspected offense, unless criminal prosecution is contemplated, 
in which case the criminal investigators should initiate their investigation before the investigation 
for disciplinary procedures begins. He should discuss the matter with the person reporting the 
incident and with the inmate or inmates accused. Where necessary to ascertain the true facts, 
he should interview other witnesses, make searches, and employ other appropriate investigatory 
techniques. 

(2) When the investigating officer is satisfied he has learned the relevant facts, he may dismiss the 
charges if he concludes that the facts do not justify further proceedings. In that event, he should 
explain his action to the person reporting the suspected offense and also to the inmate accused. 

(3) If the investigating officer concludes that the facts found do justify further proceedings, he should 
obtain written and signed statements from the p>erson reporting the suspected offense, from the 
suspected offender, and from the other persons providing pertinent information. 

(4) The accused inmate should be advised by the investigating officer that: 

(A) He has the right to submit names of requested defense witnesses and have them caUed to 
testify provided the calling of witnesses does not jeopardize or threaten institutional or individual 
security. 

(B) The number of witnesses vvUl be Limited to avoid useless repetition of the same evidence to 
be presented at the hearing. Physical evidence will only be preser\'ed upon written request of 
the inmate and provided that retaining or presenting the evidence does not threaten institutional 
or an individual's security. 

(5) The investigating officer should take written statements from aU witnesses. If statements are not 
taken from all witnesses, the investigating officer should record their names with an explanation 
for not taking their statements. 

(6) The investigating officer should make written notes of any observations made by him during the 
course of the investigation which directly relate to the alleged offense, and he should take under 
his control any physical evidence available. Upon completion of the investigation, this officer 
should make such changes in the status of the accused as seem warranted by the facts found. 

(7) The results of the investigation should be presented to the superintendent as soon as possible. 
If more than 48 hours are required to make the investigation and present the results, authority 
to extend the time should be obtained in writing from the unit superintendent or institution head 
who should establish the time period of extension. Before the superintendent grants the exten- 
sion of time, he should indicate on the DC-138A whether the inmate wiU be placed or continued 
on administrative segregation and the reasons for this decision. 

(d) Defmitions. The word "umt" used in this Section is to be understood to refer to any confinement 
facihty of the Division of Prisons. The term "superintendent" will be interpreted as including the 
warden at Central Prison. 

History Sole: Statutory Authority G.S. I4S-I I ; 
Eff. February I, 1976; 
Amended Eff. November I, 1991; December I, 1986; June I, 1984. 

.0202 DISPOSITION BY SLPERINTENDFAT OR DESIGNEE 

(a) The superintendent should first determine whether the investigation report indicates that he may 
dispose of the matter by counseling the inmate or inmates concerned. The investigation report in such 
cases should be filed at the unit together with a signed statement regarding the superintendent's action. 

(b) If the superintendent or his designated representative decides formal disciplinary^ action is required, 
he should fill out an offense report. He should make such changes in the status of the accused as he 
feels appropriate pending a hearing on the matter. The superintendent, or his designated representative, 
should indicate on the DC-138A whether the inmate wiU be placed or continued on administrative 
segregation pending the disciplinar>^ hearing and the reasons for this decision. 



6:14 NORTH CAROLINA REGISTER October 15, 1 991 942 



FINAL RULES 



(c) The superintendent or his designated representative should make a preliminan.' determination as 
to whether the alleged offense should be classified as minor or major. He should be guided in this re- 
gard by the classification of offenses in 5 NCAC 2B .0300. If he decides that an offense classified as 
minor in 5 NCAC 2B .0300 should be dealt with as a major offense in a given case, he should state in 
writing the matters in aggravation that he deems to justify such handling; if he decides that an otTense 
classified as major in 5 NCAC 2B .0300 should be dealt with as a minor offense, he should state in 
writing the matter in mitigation that he deems to justify this decision. He should sign this statement 
and include it in the case records. 

(d) When the superintendent or his designated representative decides that an accused is to be dealt 
with by formal discipliniiry action, he should give the accused notice in writing of the charge including 
a statement of the misconduct alleged and of the rules this conduct is alleged to violate. If the offense 
charged is classified as minor by the superintendent or his designated representative, he should ask the 
accused whether he admits guUt. If so, the superintendent or his designated representative, should allow 
the offender to make a statement. The substance of the statement should be summarized in the record. 
The superintendent or his designated representative, should then decide on the disposition. He may 
impose any measure authorized as a disposition for minor offenses, or he may suspend such imposition 
on condition of good behavior for a stated period of time not to exceed three months. He should note 
his decision on the offense report. 

(e) If the accused denies guilt where a minor offense is charged, the superintendent should order the 
accused to appear before a unit disciplinar,' committee. Where major rnfractions are alleged, the matter 
will be referred to an area disciplinars' committee. Referrals to a disciplmar\" committee should be made 
by the superintendent or his designated representative within 48 hours after he receives the investigation 
report. In any case where this is not possible, the reason for the delay should be explained in uriting 
by the superintendent or his designated representati\e, and his signed statement respecting this should 
be made a part of the case record. 

HistOfT Xote: Statutory Authoritv G.S. I4S-1 1; 
Eff. Februarv I. 1976; 
Amended Eff. Xovember I, 1991; June 1, I9S4. 

.0203 DISCIPLrSARV COMMITIEES 

(a) Unit Disciplinary Committee 

(1) The superintendent should appoint one or more disciplinar.' committees from the staff of his 
unit to hear and determine the disposition of minor offenses charged against inmates assigned 
to his unit. These committees should be composed of three members chosen so as to pro\ide 
a balanced and impartial tribunal. No person who initiates the charges to be heard or who is 
a witness in the case may be a member of the committee to which the case is referred. The 
superintendent should designate one member to serve as chairman. The appointments and 
designations should be made subject to the approval of the area administrator. 

(2) The chairman of a unit disciplinary committee to which a case has been referred should arrange 
for a hearing on the charge within 48 hours after the referral. The accused should be brought 
before the committee and confronted with the facts established by investigation reports which 
tend to support the charge against him. The accused should be permitted to assert a defense 
or otherwise explain his conduct. The chairman may summon to testify any witnesses or other 
persons with relevant knowledge of the incident, and may allow the accused to question an\' 
person so summoned. 

(3) If guilt is established by substantial evidence, the unit disciplinar} committee ma\' impose one 
or more measures authorized as a disposition for minor offenses. The committee ma>' suspend 
such imposition on condition of good behavior for a stated period of time not to exceed three 
months. Its decision should be noted in the record and certified by the chairman. 

(b) x\jea Disciplinary Committee 

(1) Each area administrator should appoint one or more area disciplinan" committees from per- 
sonnel within his command if a balanced and impartial tribunal can be pro\'ided in this manner. 
There should be not less than three nor more than five members. When the offense occurred 
at a unit, no person who initiates the charges to be heard, or who is a witness in the case, or 
who is on the staff of the unit to which the accused is assigned may be a member of the area 
disciplinar." committee to which the case is referred. WTien the offense occurred at a major in- 
stitution, no person who initiates the charges, or who is a witness in the case, or who is in a 
position of direct supervision over the accused may be a member of the area disciplinar)" com- 



943 6:14 \ORTH CAROLL\A REGISTER October 15, 1991 



FINAL RULES 



mittee to which the case is referred. The Director of Prisons should provide that such hearings 
be held by a disciplinary' committee appointed by the Institution Head or his designated repre- 
sentative. TTie area administrator institution head should designate one member to serve as a 
chairman. 

(2) Cases referred to an area disciplinary committee should be scheduled for a hearing within 
fourteen days of the referral. The accused should receive not less than 72 hours prior to the 
hearing, written notice of the charges against him, unless such 72 hour notice be waived in 
writing by the accused. If a delay for any other reason is desired by the unit superintendent or 
his designated representative or the accused, the one desiring the delay should state his reason 
in a written request to the area administrator who may grant such a delay for good cause. 

(3) The unit superintendent should insure that the investigation report, all written statements and 
any other pertinent items of information or evidence are properly compiled for presentation to 
the committee, and that the accused and all needed witnesses are available at the time and place 
of the hearing. 

(4) The chairman of the disciplinary' committee should document reasons for declining to call re- 
quested witnesses and declining to present items of physical evidence on the DC- 138. The fac- 
tors that the chairman may consider when ruling on an inmate's request to call witnesses or 
present items of physical evidence should include but not be limited to: 

(A) Relevance; 

(B) Cumulative Testimony; 
(Cj Necessity; and 

(D) Hazards presented by an individual case. 

(5) The unit superintendent may appoint a member of his staff to present the case to the area dis- 
ciplinary committee. The accused may request that a particular member of his unit's staff be 
appointed to assist him. The unit superintendent should allow this request unless the accused 
requests one of his accusers or other inappropriate person, in which event the superintendent 
should appoint another staff member. Yht chosen or appointed representative should assist the 
accused both in preparing for the hearing and at the hearing. The staff assistant does not serve 
as an advocate. His role is only to assure that the inmate has an opportunity to present his 
version of the facts. The representative should document on a DC-138B the way in which he 
assisted the accused either before or during the hearing. 

(6) If the chosen or appointed representative has prior knowledge that the accused is gudty, he 
should inform the accused of that fact so that another staff member may be chosen if desired. 
Still, an appointed or chosen staff member can and should aid the accused in gathenng and 
presenting evidence, even though he thinks that the accused is probably guilty. 

(7) The chairman of the area disciplinary committee should begin the hearing by reading the charges 
to the accused and asking him whether he admits to committing the offense. If the accused 
denies guilty, the evidence bearing on this issue should be presented. The accused should be 
given an opportunity to refute or explain e\idence against him and to present evidence and make 
a statement in his own behalf. Witnesses presenting rele\ant testimony on his behalf may testify 
in person or by telephone. WTienever the presentation of live testimony or physical evidence 
would jeopardize or threaten institutional or individual security, written statements of the facts 
of the incident gathered by the in\estigatLng officer may be used. Written statements of the 
ad\erse witnesses, including the accuser, may be used. The inmate should not be permitted to 
cross-examine witnesses. If the chairman deems it necessary' to withhold the identity of the 
primary accuser or any other witness due to the threat of reprisal, the accused should be in- 
formed of the part of testimony or statement of the accused which can be revealed without dis- 
closing his identity. 

(S) rVfter all evidence relating to guilt or innocence has been presented, the chairman v\ill ha\e the 
room cleared of all persons who are not voting members of the committee, except uninvolved 
people permitted to observe committee deliberations for educational or training purposes. If the 
committee does not feel that a proper decision can be reached on the basis of the information 
at its disposal, the chairman may reopen the hearing for additional questiomng, postpone the 
hearing for one week in an attempt to obtain additional information, or dismiss the charges. 

(9) Lpon reaching a decision as to the guilt or innocence by majority vote, the chairman should 
enter the committee's fmdings and rationale on the record and reopen the hearing to advise the 
inmate of the decision. If he has been found guilty or if he admits guilt when the charges are 
read, the committee should hear any matter pertinent to the issue of proper disposition and then 
close the hearing for deliberation on this issue. Upon reaching a decision by majority \'ote as 



6:14 NORTH CAROLINA REGISTER October 15, 1991 944 



FINAL RULES 



to the disposition and having noted the reasons for this determination on the record, the chair- 
man should reopen the hearing to advise the inmate of the decision, inform him of the fact that 
it will be reviewed, and permit him to have entered on the record any objections he may have 
to the decision. The chairman should explain to the inmate that if he voices an objection, any 
punitive aspect of the decision wLU not take effect until the case is reviewed and the punishment 
is approved by the reviewing authority, while if no objection is made the decision wlU take effect 
immediately but be subject to being overturned or amended by the reviewing authority. 

(10) If the accused admits guilt or if he is found guilty of a minor offense by the area disciplinar,' 
committee, the committee may impose one or more of the measures authorized for minor of- 
fenses. If he admits guilt or if he is found guilty of a major offense by the area disciplinar}' 
committee, the committee may impose one or more of the measures authorized for minor of- 
fenses and in addition or in lieu thereof one or more of the measures authorized for major of- 
fenses. The committee may suspend such imposition on specified conditions for a stated period 
of time not to exceed six months. When an inmate is found guilty of possessing funds in a form 
other than that authorized by Division of Prisons policies or in excess of the authorized amount, 
the chairman should make a separate ruling that the unauthorized funds should be permanently 
confiscated and placed in the Weffare Fund. 

(11) The chairman of the committee should be responsible for insuring that all forms are properly 
completed. The inmate should be entitled to a copy of a written statement of the evidence relied 
on by the committee and the reasons for the disciplinarv' action. Certain items of evidence may 
be excluded if necessar\" to protect a witness or informant from reprisal. When information 
supplied by confidential informants is relied upon, the chairman should document in the record 
the reasons why the information provided was trustworthy or that the informant has provided 
reliable information in the past. Copies of Forms DC- 138 and DC- 138(c) should be forwarded 
to combined records and placed in the inmate's headquarter jacket. The originals of these forms 
wiU be placed in the inmate's field jacket. 

History Xote: Statutory Authoritv G.S. 148-1 1; 
Eff. February I. 1976; 
Amended Eff. Sovember I. 1991; December I, 1986; June 1, 1984. 

.0204 REMEW PROCEDl RES 

(a) A re\iew of all actions by disciplinary committees should be made by the appointed authorities 
within seven days of the committee's decision. 

(b) The review should be directed to the consideration of whether the record indicates that the proper 
procedures were foUowcd during the course of the in\'estigation and hearing, and whether the inmate 
received a substantively full and fair hearing. The reviewing authority should not substitute his judge- 
ment for that of the committee's unless it is necessary to do so in order to correct a prejudicial abuse 
of procedures or to remedy a clearly erroneous and unfair decision. 

(c) The reviewing authority is authorized to; 

(1) approve the committee's decision; 

(2) order a re-hearing in whole or in part: 

(3) disapprove the committee's decision and dismiss the case; 

(4) reduce, but not increase, any punitive aspect of the committee's decision; 

(5) modify any administrative or treatment decision made by the committee. 

(dj The reviewing authority wlU enter on the record his reasons for taking any action other than ap- 
proving the committee's decision. 

(e) The unit and the inmate concerned should be notified of the reviewing authority's decision with- 
out delay. 

(f) The full record of the case wiU be filed at the location of the reviewing authority. 

(g) The decision of the reviewing authority may be appealed in writing directly to the Director of 
Prisons or his designee. His decision is not subject to further review. 

Histoiy Xoie: Statutory^ .Authority G.S. 148-11; 
Eff February 1, 1976; 
.4 mended Eff Sovember /, 1991 . 

.0205 AUTHORIZED DISCIPLINARY PROCEDURES 

(a) For minor offenses arising out of a single incident, one or more of the following are authorized: 



945 6:14 NORTH CAROLINA REGISTER October 15, 1991 



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(1) reprimand; 

(2) suspension of one or more privileges for a period not to exceed 30 days. No privileges may be 
suspended which the facility superintendent cannot on his or her own authority grant, such as 
work release. Privileges which may be suspended include, but are not limited to, access to the 
movies, telephone, yard privileges, and recreational activities. Visitation privileges may be sus- 
pended when a disciplinary offense occurred during visitation; 

(3) extra duties; The total hours of extra duty should not exceed 40 and no more than four hours 
should be performed on any working day and no more than eight hours on other days. The 
total period over which the extra duty extends should not exceed 30 days. 

(b) For major offenses arising out of a single incident one or more of the measures authorized for 
minor offenses may also be imposed and in addition or in lieu thereof one or more of the following: 

(1) confinement in disciplinary segregation for a period of 1 to 30 days. If the disciplinary committee 
imposes a maximum and minimum term of confinement, the Superintendent/Institution Head 
wUl have the discretion to release the inmate at any time within and including the minimum and 
maximum term. The irunate will receive day-for-day credit for time spent on administrative 
segregation pending a disciplinary hearing towards his total period of confinement in disciplinary 
segregation; 

(2) loss of up to 30 days time eamed by previous good conduct; 

(3) loss of any or all minimum custody privileges (work release, study release, home leave, com- 
munity volunteer leave, and all authorized outside activities) or loss of minimum custody status; 
Only the area disciplinary committee may make punitive level adjustments. The appropriate 
review date of level adjustment may be determined by the area classification committee accord- 
ing to the inmate's behavior foUowing the infraction. If the inmate is to be demoted out of 
minimum custody, he wUl be referred to an area classification committee for reassignment in 
accordance with departmental procedures. 

(c) For each unrelated offense charged on the same hearing day, additional punishment may be im- 
posed in accordance with these Rules. 

(d) Inmates who commit infractions on segregation may be confined in disciplinary segregation for 
additional periods of 1 to 30 days. 

History Note: Statutory Authority G.S. 148-1 1 ; 
Eff. February I, 1976; 
Amended Eff. November 1, 1991; December I, 1990; July I, 1984; June I, 1984. 

.0206 MODIFICATIONS 

The Director of the Division of Prisons may authorize modifications of this procedure consistent with 
its fundamental principles, provided any modification should be in writing, approved by the Secretary 
of Correction, and incorporated in the policies and procedures of the Department. 

History Note: Statutory Authority G.S. J 48-/ J; 
Eff February /. 1976; 
Amended Eff. November I, 1991; June 1, 1984. 

SUBCH.4PTER 2C - CLASSIFICATION 

SECTION .0500 - PROMOTION OF FELONS TO MINIMUM CUSTODY 

.0504 PROCEDURE 

Each time the unit/institution classification committee formally reviews a case, a recommendation will 
be made. Form DC-121 wiU be completed and referred to the superintendent for review and approval 
or disapproval. After the final approving authority has acted on the case (whether approved or disap- 
proved), proper distribution of all copies will be made (combined records, area records, unit or insti- 
tution records). 

History Note: Statutory Authority G.S. 148-4; 148-11; 
Eff February 1, 1976; 
Amended Eff November 1 , 1991 . 

SUBCHAPTER 2D - PUBLIC COMMUTSTCATIONS 



6:14 NORTH CAROLINA REGISTER October 15, 1991 946 



FINAL RULES 



SECTION .0300 INMATE USE OF THE .MAILS 

.0301 GENERAL 

.0302 CORRESPONDENCE 

.0303 PROCEDURES FOR CENSORSHIP 

.0304 PACKAGES AND OTHER ITEMS 

.0305 MAIL RECORDS 

History Note: Filed as a Temporary Amendment Eff. February 1 , 1988 
For a Period of 30 days to Expire on March 1 , 1988; 
Statutory Authority G.S. 1 48-1 1; 
Eff. February I, 1976; 

Amended Eff March /, 1988; January 1, 1985; March 1, 1984; February I, 1984; 
Repealed Eff November I, 1991. 

.0306 GENERAL 

(a) Inmates may write to anyone, but an individual inmate's privileges to write to a particular person 
or persons may be withdrawn by the superintendent warden of the correctional facility to which the 
inmate is assigned, upon request of the recipient, or if the recipient is a minor, at the request of his or 
her parents or legal guardian. Writing privileges also may be terminated for any of the reasons stated 
in Rule .0307(e) of this Section. The reason for withdrawal must be stated in a written notice to the 
inmate that should refer specifically to the letters previously returned. 

(b) It is the purpose of the mail policy to protect citizens in the community from offensive or 
threatening letters and prevent criminal activities and escape plots from developing through corre- 
spondence. To accomplish this, it is the responsibility of each facility mail room to stamp the outside 
of each piece of outgoing inmate mail (including packages) with the name of the correctional facility, 
(e.\., Mailed from Columbus Correctional Center). The stamp should be affixed to the front of the 
envelope above the address and between the return address and the postage stamp. This is not required 
at community residential facilities, i.e., Wilmington Residential Facility for Women. 

(c) The superintendent warden will be responsible for developing and implementing facility mail 
procedures consistent with this policy. The facility procedures must be reviewed annually to assure 
compliance with current Division of Prisons policy. 

History Note: Statutory' Authority G.S. I48-I I; 
Eff November 1, 1991. 

.0307 CORRESPONDENCE 

(a) Legal Mail. 

(1) Definition: Mail to or from attorneys, state and federal courts, the judiciary, the Industrial 
Commission, or legal aid services and Para-legals. 

(2) Legal mail from inmates shaU not be opened for inspection or impeded in its transmission. If 
there is any question as to whether an addressee is one of these persons, the mail can be held 
for not more than 24 hours to resolve the question. 

(3) Postage for legal mail from inmates will be paid from the Operating Fund provided the inmate 
is indigent. No other eligibility requirements apply to postage for legal mail. The 10 letter 
limitation on personal mail does not apply to legal mail. 

(b) Department of Correction Officials. 

(1) Definition: The Secretary of Correction, the Director of Prisons, any member of the Grievance 
Resolution Board or its staff, any member of the Board of Correction, the Parole Commission 
or its staff, or any official of the Department of Correction in the chain of command above the 
superintendent, warden to which the inmate is assigned, are defined as DOC officials. 

(2) Mail to DOC ofticials wiU be accepted within our system without postage. 

(3) Mail to DOC officials shall not be opened for inspection or impeded in its transmission. If there 
is any question as to whether an addressee is one of these persons, the mail can be held for not 
more than 24 hours to resolve the question. 

(c) Other Go\emmcnt Officials. 

(1) Definition: Any member of the Congress of the United States or any member of the General 
Assembly of North Carolina; the President of the United States or the Governor of North 



947 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



Carolina; the Attorney General of the United States or the Attorney General of North Carolina; 
the Director or any agent of the Federal Bureau of Investigation are defined as other government 
officials. 

(2) Mail to other government officials will be considered as personal mail for the purpose of postage. 

(3) Mail to other government officials shall not be opened for inspection or impeded in its trans- 
mission. If there is any question as to whether an addressee is one of these persons, the mail 
can be held for not more than 24 hours to resolve the question. 

(d) Personal Mail. 

(1) Definition: Any mail to or from an inmate that is not defmed in Paragraphs (a), (b), or (c) of 
this Rule. 

(2) Postage for personal mail from inmates without funds will be paid from the Operating Fund 
provided the inmate is indigent. 

(3) Postage for personal mail from indigent inmates shall be limited to the cost of 10 first-class one 
ounce letters per month per indigent inmate. 

(e) Other Outgoing Mail. Personal mail from inmates may be sealed when placed in the outgoing 
mail and shall not be opened and censored unless the superintendent/warden or his designee has good 
cause to beUeve that: 

( 1 ) The mail contains threats of physical harm against any person or threats of criminal activity. 

(2) The mail threatens blackmail or extortion. 

(3) The mail concerns sending contraband in and out of the correctional facility. 

(4) The mail concerns plans to escape. 

(5) The mail concems plans to violate departmental rules and policies necessary to maintain security 
and control. 

(6) The mail concems plans for criminal activity or violation of state or federal laws. 

(7) Tlie mail concems information which if communicated would create a clear and present danger 
of violence and physical harm. 

(f) Incoming Mad. 

(1) Inspection: The superintendent/warden shall provide for the inspection of all incoming mail 
by qualified members of the correctional facility. The inspection shall serve to prevent inmates 
from receiving through the mail contraband or any other material that threatens to undermine 
the security and order of the facility or which cannot be lawfully sent through the mail. Mail 
to inmates which appears to be from one of the persons Usted in Paragraphs (a), (b), or (c) of 
this Rule, shall be opened by correctional staff, who shall see that the contents are free of 
contraband and are in fact official or legal correspondence from the person whose name and 
return address appears on the outside of the envelope or package. The correspondence shall 
not be read beyond what is necessary to make this determination. 

(2) Censorship: Incoming personal mail may be opened and read by the superintendent/warden 
or his designee only if he has reason to believe that the contents of the letter fall into one of the 
categories listed in Paragraph (e) of this Rule. This Paragraph and Paragraph (e) of this Rule 
allow for inspection and censorship of mail only when necessary to protect the security of the 
facility and prevent criminal activity. No letter is to be opened or censored in order to eliminate 
critical opinions of Departmental policy or the Department's employees. All incoming personal 
mail is to be inspected but not read unless it falls in one of the categories listed in Paragraph (e) 
of this Rule. Under normal circumstances, incoming mad should not be read. 

(g) Mass MaiUng. Any massive attempt to use the mails to reach the inmate population or facility 
is inherently suspect. If the superintendent/warden has good cause to believe that such an attempt has 
been initiated in order to cause dismption or otherwise threaten the order and security of the facihty, 
the mail involved will be censored. If necessary, due to the security consideration stated in this Para- 
graph, the superintendent/warden may refuse delivery of this mail without notice to the inmate ad- 
dressee. 

(h) Rules on Letter Content and Stmcture. 

(1) Letters to and from inmates must be written in English unless an exception to this requirement 
is made by the superintendent /warden. 

(2) Letters may be typewritten, printed, or written legibly in longhand. 

(3) Letters to inmates should be addressed so that the full name of the inmate appears on the en- 
velope. The inmate shall instruct his correspondents to use the correct address as posted on the 
inmate's buUetin board. 

(4) Letters from inmates must have their fuU name and return address of the facility in the upper left 
comer of the envelope. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 948 



FINAL RULES 



History Note: Statutory Authority G.S. 148-1 1; 
Eff. November I, 1991. 

.0308 PROCEDURES FOR CENSORSHIP 

If the superintendent/warden or designee decides that an inmate should be prohibited from sending 
or receiving any personal mail, the inmate should be notified in writing within 24 hours of the reason 
for censorship. The inmate shall be afforded the opportunity to appeal the decision in writing, within 
seven days, directly to the Director of the Di%'ision of Prisons. 7 he Director of Prisons or designee shall 
have the authority to reverse the prior decision if it is believed there is insufficient cause for the prohi- 
bition. The Director must take action on the appeal in seven days from the time the inmate's appeal 
is received. 

History Note: Statutory' Authority G.S. I4S-I I; 
Eff. November I, 1991. 

.0309 P.ACKAGES AND OTHER ITEMS 

(a) Sent by Inmates. Packages and large envelopes addressed to persons other than one of those listed 
in Rule .0307(a), (b), or (c) of this Section, may not be sealed for mailing by an inmate until inspected 
by a correctional officer and found free of contraband or material which constitutes a threat to the order 
and security of the facihty or which cannot be lawfully sent through the maU. This inspection shall 
be done in the presence of the inmate. If cleared for mailing, the item shall be sealed and placed in the 
mail by the sender in the presence of the inspector. 

(b) Sent to Inmates. Additional items sent to inmates shall be subject to inspection and handling 
by a correctional officer. The inspection shall be done in a secure location in the facility and shall not 
be done in the presence of the inmate. If the officer determines that the package or envelope contains 
contraband or other material that threatens the order and security of the facility, this material shall be 
confiscated. 

(c) Additional Items Sent to Inmates. In addition to letters, the following items may be received by 
an inmate through the mail, and are always subject to inspection and handling as provided in these 
Regulations: 

( 1) clothing approved for use while incarcerated; 

(2) clothing to be used upon release (if received within 15 days of a scheduled release date); 

(3) musical instruments (when approval is secured in advance from the superintendent/warden); 

(4) unframed photographs, not to exceed 8" x 10"; 

(5) legal papers; 

(6) publications which may be received under 5 NCAC 2D .0100; 

(7) religious items; 

(8) money shall be sent by postal or bank money order or cashiers or certified checks. Cash sent 
by mail shall be returned to the sender with an explanation of the requirements for money orders 
and/or certified checks. Cash that is concealed or hidden within other mailed items in an at- 
tempt to avoid detection shall prompt an investigation and appropriate disciplinary action. Such 
cash will be confiscated if the inmate is found guilty of a disciplinary offense. Otherwise, it will 
be returned to the sender. If no return address is provided, cash received will be confiscated as 
contraband and deposited in the Inmate Welfare Fund. 

(d) Inmate Request for Other Items. Any inmate may request in writing permission from the 
Command Manager to receive through the mail a specific item that is not otherwise authorized. This 
request shall be forwarded through the chain of command to permit the views of area staff to be ex- 
pressed. Seasonal exceptions may be authorized by the Director of Prisons in addition to the List of 
items an inmate may receive through the mail. 

(c) COD Packages Sent to Inmates. No COD packages shall be accepted for any inmate and no 
inmate shall be authorized to send mail COD. Unauthorized items arriving by mail shall be returned 
to the sender at the expense of the inmate addressed. If the inmate is without funds, the package shall 
be returned at the state's expense or the inmate may donate it to a charitable organization or request 
it to be destroyed. A copy of the mail regulations shall be enclosed in the package to be returned. 
Packages that postal authorities will not accept for return to the sender shall be delivered to some 
charitable organization, or to a law enforcement agency in appropriate cases, and a receipt shaO be 
obtained for the same. 



949 6:14 NORTH CAROLINA REGISTER October 15, 1 991 



FINAL RULES 



History Note: Statutory Authority G.S. 148-11; 
Eff. November 1. 1991. 

.0310 MAIL RECORDS 

The mail officer shall keep a record on Form DC-218 showing the source and destination of all legal 
mail, packages and items of monetary value mailed by an inmate. Check and money order numbers 
shall also be recorded on Form DC-218. The mail officer opening packages and items of monetary 
value mailed by or to an inmate shall sign his name at the beginning of each day's entries and place 
his initials beside each entry. Tlie mail officer distributing such mail to inmates shall sign his name at 
the beginning of each day's entries and place his initials beside the signature of each inmate receiving 
such mail. 

History Note: Statutory Authority G.S. 148-1 1; 
Eff. November 1, 1991. 

SUBCHAPTER 2E - TREATMENT 

SECTION .0200 - HEALTH CARE POLICY 

.0202 FACILITY RESPONSIBILITY 
.0203 STAFF RESPONSIBILITY 
.0204 CLFSTCAL RESPONSIBILITY 

Histon' Note: Statutory Authority G.S. 148-1 1; 148-19; 
Eff February 1, 1976; 
Amended Eff. September 23, 1980; 
Repealed Eff. November 1 , 1991. 

.0205 MEETESGS AND REPORTS 

.0206 ANN-UAL RE\ lEW 

.0207 SKILLED NURSESG FACILITIES 

.0208 FACILITIES: EQUIPMENT: AND SUPPLIES 

.0209 FIRST AID KITS 

History Note: Statutory Authority G.S. 148-1 1; 148-19; 
Eff September 23 1 1980; 
Amended Eff. February 1 , 1983; 
Repealed Eff November 1, 1991. 

.0211 EMERGENCY SERVICES 

.0212 SPECIALTY CARE 

.0213 MENTAL HEALTH 

.0214 PROFESSIONAL LICENSURE 

.0215 NURSrSG SERVICES 

.0216 TRAESrSG OF HEALTH CARE STAFF 

.0217 TRAFSTNG OF CORRECTIONAL STAFF 

.0218 STANDCSG ORDERS AND PROTOCOLS 

.0219 USE OF STUDENTS AND INTERNS 

.0220 USE OF INMATES ES HEALTH CARE 

History Note: Statutory Authority G.S. 148-11; 148-19; 
Eff September 23, 1980; 

Amended Eff March 31, 1981; December 15. 1980; 
Repealed Eff. November 1, 1991. 

.0222 ESTAKE PHYSICAL EXAMINATION 

History Note: Statutory Authority G.S. 148-11; 148-19; 
Eff September 23. 1980; 



6:14 NORTH CAROLINA REGISTER October 15, 1991 950 



FINAL RULES 



Repealed Eff. Nmember I. 1991. 

.0224 MENTALLY DISTURBED INMATES 
.0225 CONTINl ITV OE CARE 

History Sole: Statutory Authority G.S. 148-11; 148-19; 
Eff. September 23, 19S0; 
Repealed Eff . November 1, 1991. 

.0230 SPECIAL HEALTH PROBLEMS 

.0231 DETOXIEICATION 

.0232 PROSTHETICS 

.0233 TRANSEERS EOR TREATMENT 

History Note: Statutory Authority G.S. 148-11; 148-19; 
Eff September 23. 1980; 
Repealed Eff November 1, 1991. 

.0236 rSEORMED CONSENT 

.0237 NO riEICATION ES CASE OE ILLNESS: INJURY OR DEATH 

.0238 PROCEDURES IN CASE OE DEATH 

.0239 PHARMACEUTICALS 

.0240 HEALTH RECORDS 

History Note: Statutory .Authority G.S. 148-11; 148-19; 
Eff September 23, 1980; 
Repealed Eff November 1, 1991. 

SECTION .0700 - WORK RELEASE 

.0703 WORK RELEASE CONDITIONS 

The following specific requirements must be met in order to grant work release for each eligibility 
categop,' listed m Rule .0702: 
(I) Misdemeanants court ordered for work release. 

(a) The commitment or court order from the sentencing court should provide: 
(i) The date work release is to begin; 

(ii) The prison or local confmement facility to which the offender is 

to be committed; 
(iii) A provision that work work release terminates the date the offender 

loses his job or violates the conditions of the work release program 

established by the Department of Correction; and 
(iv) A determination as to whether the earnings of the offender are to 

be disbursed by the Department of Correction or by the clerk of the 

sentencing court in the manner that the court in its order directs. 

(b) A misdemeanant court ordered for work release wiU be housed at the prison facility specified 
by the court. However, if the facility specified cannot house work release inmates due to over- 
crowding or other administrative purposes, inmates can be assigned to some other appropriate 
prison facility. For the purposes of this Rule, "overcrowding" refers to a population count 
above the designated capacity for the facility. "Administrative purposes" are defmed as man- 
agement practices which determine the classification, custody, programs and security at each 
unit. 

(c) Tiie inmate must not be awaiting trial on felony charges or have any felony detainers pending. 

(d) The inmate will be in minimum custody level III by the date work release is ordered to begin. 

(e) A misdemeanant court ordered for work release will be processed as outlined in Rule .0706(a). 
(fj If court ordered work release is delayed or disapproved, the classification authority will document 

the reasons for such action on the DC- 121. The inmate should be notified by a letter which 
shall set forth the reasons for the delav or denial. 



951 6:14 NORTH CAROLL\'A REGISTER October 15, 1991 



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(g) If an inmate who is court ordered for work release and has suitable employment is disapproved, 
the Area Administrator/ Institution Head or his designee will notify the sentencing judge by letter 
noting the reasons for disapproval. 
(2) Irmiates sentenced to a total sentence length of five years or less who are court recommended for 
work release and therefore requiring immediate work release placement. 

(a) The inmate must not be awaiting trial on felony charges or have any felony detainers. 

(b) The inmate must have suitable employment at the time of commitment in an area where there 
is a field unit or other facility suitable for housing the inmate. 

(i) "Suitable employment" shall require that: 

(A) The employer must pay at least the current minimum wage; 

(B) The employer must participate in an insurance program, preferably the Worker's Com- 
pensation Program, which will compensate the inmate for injury by accident arising out of 
and in the course of employment; 

(C) The work setting must provide an appropriately supervised environment. Employment 
by a family member is prohibited. A family member is defmed as father, mother, brother, 
sister, husband, wife, child, aunt, uncle, grandparents, in-laws, foster parent or other persons 
who acted in place of parents where such relationship can be verified. 

(D) Inmates disciplined by a regulatory body established by laws for conduct related to their 
work will not be placed in the same or similar work without consultation with the regulatory 
body and prior approval of the Secretary of Correction. 

(ii) The processing diagnostic center will confirm the job offer. Verbal verification will be fol- 
lowed up with a letter of confirmation except with a regular work release employer. The proc- 
essing diagnostic center will notify the proposed unit of housing for work release directly by 
telephone and win request an investigation of the work release job plan. Information concerning 
the uimate, the crime, the job plan particulars, Jind the other information as appropriate will be 
provided. The receiving unit will conduct the job investigation and will provide return notifi- 
cation to the referring diagnostic center by telephone within three working days. Diagnostic 
center staff wiU send a notification to the receiving area via a DCI terminal transmission stating 
a request for an investigation has been made. 

(iii) If a suitable facility is not within normal commuting distance of the inmate's employment, a 
contract may be negotiated with the county sheriff for housing the inmate at a local confinement 
facility. 

(iv) If suitable employment is not available at the time of the commitment, all other provisions 
in this Subsection do not apply until such employment is secured. The following procedure 
shall be followed: 

(A) The staff of the diagnostic center shall counsel and assist the inmate in his job search. The 
assistance shall include contacts with prospective employers on behalf of the inmate. 

(B) If suitable employment is not secured at the completion of the regular diagnostic process, 
the inmate shall be assigned to an appropriate field unit by the classification authority. The 
assignment should be made to facilitate the inmate's search for employment. The classifica- 
tion authority should consider promoting the inmate to minimum custody level III for work 
release only if otherwise eligible to further facilitate work release development and placement. 
The following is a suggested priority list of assignment locations. 

(I) i\n appropriate unit close to the inmate's home: 

(II) /\n appropriate unit within commuting distance of a promising job market; 

(III) An appropriate unit which is a reasonable compromise of the above priorities. 

(C) The program staff of inmate's field unit shall counsel and assist the inmate in his job search. 
The assistance shall include contacts with prospective employers. While seeking work release 
employment, the inmate may be given any appropriate duty assignment by the classification 
authority but the duty assignment shall not impair the inmate's opportunity for work release. 
When suitable employment is obtained, the inmate shall immediately be processed in ac- 
cordance with this Subsection. 

(c) The following custodial and correctional considerations, as defmed in (i) of this Rule, will pre- 
clude the inmate's participation in the work release program, 
(i) Even though an inmate is court recommended for work release, the inmate may be denied work 
release privileges by the classification authority under the following conditions: 
(A) The inmate has a prior criminal or prison record of escape or assaultive behavior which 
would normally result in the denial of work release privileges to an irmiate who had not been 
recommended by the court; 



6:14 NORTH CAROLINA REGISTER October 15, 1991 952 



FINAL RULES 



(B) The inmate has committed infractions subsequent to commitment under the sentence re- 
commending work release which would normally result in the denial of work release privileges 
to an inmate who had not been recommended by the court; 

(C) The inmate has a serious health problem, mental or physical, which warrants immediate 
treatment or obser\'ation on a continuing basis. ITiis problem shall be fully documented on 
the DC-121R;or 

(D) The inmate has committed major rule violations during a previous term of confinement 
during work release participation of sufficient magnitude to give cause for current program 
disapproval. 

(ii) If there is reason to beUeve that an inmate is subject to denial of work release privileges, his 
placement on the work release program may be temporarily delayed by the classification au- 
thority pending further study of his case and the fmal decision of the classification authority. 

(iii) If court recommended work release is delayed or disapproved, the classification authority wOl 
document the reasons for such action on the DC- 121. The inmate should be notified by a letter 
which shall set forth the reasons for the delay or denial. 

(iv) If an inmate who is court recommended for work release and has suitable employment is 
disapproved pursuant to the conditions of Rule .0703(2)(c)(i)(A) through (D), the Area 
Administrator Institution Head or his designee wiU notify the sentencing judge by letter noting 
the reasons for disapproval. 

(d) Subject to the considerations set forth in Rule .0703(2)(c), all inmates with court recommen- 
dations for work release are immediately to be placed in a minimum custody level III, for the 
purpose of work release only. The inmate wlU not have any other community privileges unless 
approved as provided in the existing policy relating to outside activities (5 NCAC 2F .0600). 

(e) Transfer to the appropriate field unit will be processed by the classification authority. Court 
ordered, recommended inmates approved for work release shall receive fust priority for housing 
assignments and transfers. A priority hst shall be estabhshed within each area. Court recom- 
mended and approved inmates shall receive the top priority based on the length of time in the 
prison system. TTie remainder of the list shall be composed of other inmates approved for work 
release in order of length of time since receipt of approval. 

(f) Inmates with a court recommendation for work release should be processed, transferred and 
placed on work release within ten working days of admission unless custodial and correctional 
considerations clearly preclude such an assignment or a work release facility is unavailable in the 
area of proposed employment. 

(g) A court recommendation which states work release is recommended or which states immediate 
work release is recommended wiU be interpreted as requiring immediate work release placement. 

(3) Inmates sentenced for crimes committed after July I, 1981, who are not court recommended for 
work release. 

(a) Inmates ser\'ing sentences totaling five years or less are eligible for immediate work release con- 
sideration. Those sentenced to greater than five years must be within three years of the maxi- 
mum release date or parole eligibility date except as approved by the Director of Prisons. 

(b) The inmate must not be awaiting trial on felony charges or have any felony detainers pending. 

(c) Suitable employment as defmed in Rule .0703(2)(b)(i) must be available prior to work release 
placement but approval for the work release program can be granted before an employment plan 
is developed. 

(d) If a suitable facility is not within normal commuting distance of the inmate's employment, a 
contract may be negotiated with the county sheriff for housing the inmate at a local confinement 
facility. 

(e) The inmate must be in minimum custody level 111 by the date work release is to begin. 

(f) 1 he inmate must not have had either an escape within six months or a major infraction within 
three months of work release approval. 

(4) Inmates sentenced for crimes committed prior to July 1, 1981, with sentences greater than five 
years. 

(a) The iiunate must be within three years of the maximum release date or parole eligibility date, 
except as approved by the Director of Prisons. 

(b) The inmate must have approval of the Parole Commission. For those inmates on approved 
MAPP Agreements with a total sentence length of less than 30 years, the MAPP Agreement 
represents work release approval by the Parole Commission. 

(c) The inmate must not be awaiting trial on felony charges or have any felony detainers pending. 



953 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(d) Suitable employment, as defined in Rule .0703(2)(b)(i) will be required for placement and may 
be required for Parole Commission approval as stated in Rule .0707(f). 

(e) If a suitable facility is not within normal commuting distance of the inmate's employment, a 
contract may be negotiated with the county sheriff for housing the inmate in a local confmement 
facility. 

(f) The inmate must be in minimum custody level III status on the date he is to begin participating 
in work release. However, approval for work release may be requested through the Parole 
Commission prior to attaining minimum custody level III. 

(g) The inmate must not have had either an escape within six months or a major infraction within 
three months of work release approval. 

History Note: Statutory Authority G.S. 148-1 1; 148-33.1; 
Eff. February I, 1976; 
Amended Eff. November I. 1991; December I, 1986; April 1, 1986; December 1, 1985. 

SECTION .1300 - STUDY RELEASE 

.1304 APPLICATION PROCEDURE 
.1305 REINSTATEMENT 

History Note: Statutory Authority G.S. 148-11; 148-13; 
Eff December 1, 1986; 
Repealed Eff. November 1 , 1991 . 

.1307 CHANGE IN EDUCATION PLAN 

.1308 PLACEMENT ON STUDY RELEASE 

.1309 REMOVAL FROM OR COMPLETION OF STUDY RELEASE 

History Note: Statutory Authority G.S. 148-11; 148-13; 
Eff December 1, 1986; 
Repealed Eff. November 1, 1991. 

SECTION .1500 - SAFETY AND HEALTH 

.1501 PURPOSE 

.1502 SUPERVISORY AND EMPLOYEE RESPONSIBILITY 

.1503 CONTRACTCSG AGENCY RESPONSIBILITY 

History Note: Authority G.S. 95-129.1; 95-130.1; 95-148; 148-11; Executive Order Number 6; 
Eff October 1, 1989; 
Amended Eff October 1, 1990; 
Repealed Eff November 1. 1991. 

SUBCHAPTER 2F - CUSTODY AND SECURITY 

SECTION .0100 - SEARCH AND SEIZURE 

.0101 GENERAL 

(a) In the searching of iimiates, all correctional officers and staff are required to act reasonably and 
professionally and within reason, employ a "common sense approach". Every effort should be made 
to assure that inmates are not unnecessarily embarrassed or humiliated. 

(b) The superintendent/warden will be responsible for developing and implementing a facility search 
and seizure procedure consistent with this policy. Facility procedures must be reviewed armually to 
assure compliance with the current policy of the Division of Prisons. 

(c) To control contraband, searches of inmates are authorized at the discretion of staff. Refusal to 
submit to a search may result in a forced search and disciplinary action against the inmate. 

History Note: Statutory Authority G.S. 14S-4; 148-11; 
Eff February 1, 1976; 



6:14 NORTH CAROLINA REGISTER October 15, 1991 954 



FINAL RULES 



Amended Eff. November 1 , 1991 . 

.0102 SEARCH 

History Sole: Statutory Authority G.S. 14-258.1; I5A-404; 148-4; 148-11; 
Eff. February I, 1976; 

Amended Eff. January 1, 1986; March I. 1985; 
Repealed Eff S'ovember 1 , 1991 . 

.0103 SEARCHES OE IN>EATES 

(a) Complete Searches. A complete search shall include a strip search (the removal of all of the in- 
mate's clothing), a search of the inmate's effects, and a visual search of the inmate's body cavities to 
look for contraband. The following rules apply to complete searches: 

(1) Posts that routinely involve complete searches should be staffed by correctional officers of the 
same sex as the inmates under their super-'ision. Under normal operations, complete searches 
of inmates should be conducted by trained staff of the same sex as the inmate. During an 
emergency operation, the commander may order complete searches of inmates by Criminal 
Justice Certified staff regardless of sex. 

(2) The receiving facility will conduct a complete search on ail inmates upon commitment to the 
Department of Correction, on return from escap>e or court, upon transfer from another facility, 
or placement on segregation (disciplman,', administrative, maximum custody, etc.). 

(3) .All inmates entering or leaving maximum, close or medium security facilities will be completely 
searched. 

(4j Inmates classified as maximum custody wiU be completely searched before and after visiting. 
General population inmates in close or medium custody wiQ be completely searched after visit- 
ing. 

(5) Minimum custody inmates assigned to facilities other than minimum security facilities will be 
completely searched after visiting. 

(6) Upon the discretion of the Superintendent or Officer-In-Charge and as indicated in the unit's 
Standard Operating Procedures, all or a random selection of minimum custody inmates wiU be 
searched daily upon the return from community based program activities. Such acti\ities in- 
clude but are not limited to Work Release. Study Release, Home Leave, Community Volunteer 
Lea\e, and Outside Work xA-Ssignments, etc. 

(b) Routine Searches. Routine searches are pat and frisk searches with the person clothed. A routine 
search may also include searches of personal effects. The following rules apply to routine searches: 

(1) Correctional staff of either sex may conduct routine searches of male and female inmates. 

(2) WTiere complete searches are not required, routine searches of minimum custody inmates shall 
be conducted upon the inmates leaving and returning to the facility for authorized outside ac- 
tivities. 

(3) Where complete searches are not required before or after visiting, routine searches shall be con- 
ducted. 

(c) Body Cavity Searches. Body cavity searches are the probing of body orifices in search of 
contraband. These searches are authorized by the supcnntendent 'warden or his her designee when 
there is probably cause to believe an inmate has concealed contraband in a body orifice. Body cavity 
searches are authorized only if a complete search has not produced the suspected concealed contraband. 
Body cavity searches shall be done by medical personnel of the Division of Prisons in a medical setting 
pursuant to procedures in the Health Care Procedures Manual. If medical personnel of the Di\ision 
of Prisons are not a\ailable, the procedure may be done by outside medical providers. An Incident 
Report (DC-432) must be completed to document a body cavity search. 

(d) Searches of Inmate's Quarters and Effects. Complete shakedown searches of inmate quarters and 
effects are authorized, regardless of whether there is reason to suspect any particular inmate of 
concealment of contraband. Searches of inmate quarters and effects are to be conducted randomly 
daily. Staff conducting the search should a\'oid any urmecessaPv' scattering, disruption, or disarray of 
the inmate's personal possessions during the search. Inmate's living quarters may be searched without 
the mmate being present. Normally, inmates will be present when their locker is searched. 

Histon- Sote: Statutory Authority G.S. 14-258.1; I5A-404; 148-4; 148-11; 
Eff November 1, 1991. 



955 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



.0104 SEARCHES OF VISITORS AND OTHER PERSONS 

(a) Before and after every visiting period within the confines of a facility, a search of the room or area 
where the visits are held wlU be made to assure that no contraband has been concealed in or under any 
structure, equipment or furniture. 

(b) All visitors and all other persons who seek entry to any facility for any purpose may be subjected 
to a routine search of their person or their effects upon entering or leaving a facility or any time they 
are within the confmes of a facility. Such searches are authorized at the discretion of the Officer-In- 
Charge. Appropriate documentation shall be made to the Superintendent. 

(c) A routine search may also include the search of personal effects. Personal effects such as 
handbags, boxes, briefcases, or other items under the immediate control or access of the visitor, should 
remain outside the confmes of the facihty. When in the judgment of the Officer-In-Charge that it is 
necessary for any of these personal effects to be carried within the Institution, such personal effects will 
be subject to a thorough search. Visitors who refuse to agree to a search of personal effects will not 
be authorized to visit. 

(d) Routine searches of visitors and other persons seeking entry to a facihty must be conducted by 
an officer of the same sex as the visitor or other person seeking entry to a facUity. Wherever possible, 
more than one staff person should be present for such searches. If an officer of the same sex as the 
visitor is not available to conduct the routine search, visitors suspected of carrying contraband on their 
person must be denied entry into the facility. When visitors are suspected of carrying contraband, the 
Officer- In-Charge is authorized to request the assistance of local law enforcement provided that such 
assistance results in a search of the visitor by an officer of the same sex. 

(e) If contraband is found on the person or in the personal effects of the visitor, the contraband 
should be confiscated and local law enforcement authorities notified immediately. Reasonable efforts 
short of the Use of Force should be utilized to encourage the visitor to remain until local law enforce- 
ment authorities arrive. If the visitor refuses to remain, as much descriptive and informational data as 
can be accumulated by correctional staff regarding the identity of the visitor and direction of departure 
and method of departure, should be communicated to the local law enforcement officers. 

(f) A visitor seeking entry to the facility can avoid a routine search by leaving the facihty. If the visitor 
refuses to submit to a routine search, the visitor shall be denied access to the facihty. The visitor should 
also be considered for exclusion from an inmate's approved visitor's hst in accordance with 5 NCAC 
2D .0201(d)(1). 

(g) If prior to visitation, prison officials receive reliable information that a visitor wiU attempt to 
smuggle contraband into the facility, the Officer- In-Charge should contact the local law enforcement 
agency for assistance. 

(h) Complete searches of visitors is solely the authority of local law enforcement authorities with the 
consent of the visitor or by local law enforcement authorities having the legal basis to conduct the 
search. While such searches may be conducted on agency property, Division staff should not provide 
assistance. Any assistance provided should be in response to a request from local law enforcement 
authorities and predicated upon the maintenance of order and security at the facihty. 

Histoiy Note: Statutory Authoritv G.S. 14-258.1; I5A-404; I4S-4; 148-11; 
Eff. November I, 1991. 

.0105 SEARCHES OF EMPLOYEES 

(a) All employees of the Department of Correction may be subjected to a routine search of their 
person or their effects upon entering or leaving a facility or any time they are within the confmes of a 
facihty. Such searches are authorized at the discretion of the Officer-In-Charge. Appropriate doc- 
umentation shall be made to the Superintendent. 

(b) Routine searches of employees wiU be conducted as a result of individualized suspicion. Routine 
searches of employees must be conducted by an officer or the same sex as the employee. Whenever 
possible, more than one staff person should be present for such searches. If an officer of the same sex 
as the employee is not available to conduct the routine search, employees suspected of carrying 
contraband on their person must be denied entr>' into the secured area of the facihty. An employee 
may be ordered to remain in a designated area until such time as an officer of the same sex or local law 
enforcement officer of the same sex is available. 

(c) If the employee refuses to submit to a routine search or refuses to remain in the area as ordered, 
the employee shall be denied access to the facility. The employee shall be notified that the employee 
is considered to be on leave without pay and that appropriate disciplinary action will be initiated. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 956 



FINAL RULES 



(d) A routine search may also include searches of personal effects carried on the person such as 
handbags, boxes, briefcases, and other items if the item is within the immediate control or access of the 
person being searched. 

(e) I'pon individualized suspicion and subject to approval by the Officer-In-Charge, employee offices 
may also be searched for contraband. 

(f) Complete searches of employees will be conducted only after the issuance of a Search Warrant 
by the appropriate judicial official. 

(g) Body cavity searches of employees will be conducted only after the issuance of a Search Warrant 
by the appropriate judici;d official. 

(h) l:mployee vehicles parked on Division property are subject to external inspections by Department 
staff and or Narcotic Detection Canines. limployee vehicles on Division property may be searched if 
consent is given by the employee, or a Search Warrant has been properly issued and is being served 
by a law enforcement agency, or under some other legal justification for a search as determined by local 
law enforcement olTicials. 

History Note: Statutory Authority G.S. 14-258.1; 15A-404; 148-4; 148-11; 
Eff. November I. 1991. 

.0106 COMPLETE FACILITY SEARCH 

A complete search of each facility shall be conducted not less than once each six months. 

Historv Note: Statutory Authority G.S. 1 4-258. 1; I5A-404; 148-4; 148-11; 
Eff. November 1, 1991. 

.0107 DISPOSITION OF CONTRABAND 

Disposition of contraband shall be in compliance with 5 NCAC 2F .0802(e) and G.S. 114-18.1. 

Uistoty Note: Statutory Authoritv G.S. 14-258.1; 15A-404; 148-4; 148-11; 
Eff November 1, 1991. 

SECTION .0500 - INMATE PERSONAL PROPERTY 

.0501 GENERAL 

(a) The provisions of this policy apply to all legally confined inmates of the Division of Prisons, ex- 
cept where security and custody precautions require additional provisions pertaining to particular in- 
stitutions or to special inmate classifications. These additions must be specifically approved by the 
Director of Prisons. 

(b) A partial list of personal items and clothes that inmates are authorized to possess appears in this 
Section. WTien an inmate arrives at a reception center, he wlU be informed that he will be allowed to 
keep these items but that the Division of Prisons assumes no responsibility for replacing any items if 
they are damaged, destroyed or lost. The amount of authorized items may be limited where necessary 
to provide for proper accountability, contraband control, storage space, sanitary conditions and resident 
morale. 

History Note: Statutory Authority G.S. 148-4; 148-11; 148-13; 
Eff. February 1, 1976; 
Amended Eff. h'ovemher 1 , 1991 . 

.0502 PERSONAL CLOTHFVG 

(a) Reception. 

(1) Inmates with sentences of more than one year wiU be required to dispose of all items of personal 
clothing except shoes (maximum heel height one and one-half inches) and handkerchiefs, unless 
they are eligible for work release under G.S. 143-33. 1(a), or safekeepers. 

(2) Inmates with a maximum sentence of one year or less wiU be required to retain useable items 
of personal clothing which will be stored in a secure place so that they may be made available 
to them when they are promoted to minimum custody and or released. 

(3) Inmates eligible for work release under G.S. 148-33. 1(a) will be able to retain all items that other 
inmates so classified are allowed to retain. 

(b) Clothing Authorization. 



95 7 6:14 NOR TH CA ROL IN A REGIS TER October 15, 1 991 



FINAL RULES 



(1) Inmates classified in maximum, close, medium and minimum wiU not be allowed to possess any 
item of personal clothing except handkerchiefs and shoes as authorized by Policy and Procedures 
5 NCAC2F .0503(a)(13). 

(2) A maximum of 15 items of outer clothing will be permitted for those inmates participating in 
community based programs such as work release, study release, off-site community volunteer 
passes, home leaves and Pre- Release Training. 

(3) Inmates demoted to minimum I or below wiU be required to dispose of all personal clothing 
except shoes and handkerchiefs. Disposal wiU be the sending facihty's responsibihty. 

(4) The personal clothing of inmates removed from community based programs due to disciplinary, 
medical, administrative, etc., reasons may be; 

(A) Retained by the inmate. 

(B) Stored by the Division of Prisons. 

(C) Disposed of by the inmate at the discretion of the Facility Head. 

(c) Facility Exceptions. Minimum custody facilities with authorized special missions can allow in- 
mates to wear clothing other than prison issued clothing if approved by the appropriate Command 
Manager. 

Histoiy Note: Statutory Authority G.S. 148-4; 148-11; 148-13; 148-33.1 (a); 
Eff. February 1, 1976; 
Amended Eff. November 1 , 1991 . 

.0503 AUTHORIZED ITEMS 

(a) Subject to any additional provisions regarding the possession of personal property approved by 
the Director of the Division of Prisons under Rule .0501 of this Section, the following items are au- 
thorized to be retained by inmates during confinement: 

(1) books and periodicals (see publication policy - 5 NCAC 2D .0100); 

(2) personal funds; No inmate will be allowed to have more than thirty dollars ($30.00) in then- 
possession at any time. All other funds must be deposited in trust fund accounts; No inmate 
wiU be allowed to possess currency in denominations greater than a five doUar ($5.00) biU; 

(3) eyeglasses and nonmetallic cases; 

(4) rehgious items (medals, rosaries); 

(5) inexpensive jewelry and watches to include wedding bands and other jewelr>' at the owner's risk; 
The value of each item shall not exceed one hundred dollars ($100.00); 

(6) inmates will be permitted to own possess one battery operated transistor radio, "walk-man" 
style, with earphones and AM/FM bands. Radios will be no larger than 5" x 3" x 1". The radios 
win be sold exclusively through the facility canteens and the prices will be determiaed at a rea- 
sonable level and will be posted. Inmates may retain radios purchased prior to this revised 
policy as long as they are operational. The ofTicer-in-charge may designate areas where radios 
may be used without earphones. The Division of Prisons wiU not be responsible for replace- 
ment due to loss, theft, or breakage. Each facility should keep a sufficient supply of these radios 
on hand for sale to the inmates with coordination through the Department of Correction Pur- 
chasing Section; 

(7) toothbrushes, shaving cream, safety razors and blades; 

(8) unframed photographs not to exceed 8" by 10"; 

(9) canteen purchases including items bought at one unit of the prison system by an inmate sub- 
sequently transferred to another unit; 

(10) wallets, or pocketbooks; 

(11) Inmates wiU be permitted to retain items in accordance with Policy and Procedures 5 NCAC 
2D .0304(c); 

(12) any drug, chemical compound or controlled substance which has been issued to an inmate by 
a proper authority except such items wiQ not be permitted to accumulate beyond prescribed or 
authorized levels; 

(13) shoes - Inmates will be permitted to possess one pair of dress shoes; one pair of recreational 
shoes (tennis shoes); one pair of shower shoes (flip flops); and one pair of state-issued work 
shoes (steel toe brogans). Work shoes for inmates on work release may be state-issued or pur- 
chased by the inmate or state issued can exceed the overall height of nine inches from bottom 
of the heel to the top of the shoe. Heel height of any shoe cannot exceed one and one half 
inches. 

* Exceptions may be issued by the Facility Head for medical or work release purposes only. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 958 



FINAL RULES 



(b) Legal Papers. Inmates will be permitted to fHJSsess legal papers relevant to cases that are or may 
be pendmg before the courts and papers relating to legal transactions where possession is necessary for 
the proper handling of the matter. Other legal materials may be kept, but the amount of such material 
may be limited where necessar>' to maintain adequate sanitar>' conditions, storage space, and security. 
If there is doubt as to whether an inmate should be allowed to possess legal papers or material, the 
matter should be referred directly to the Director of Prisons or his representative who will consult legal 
authorities and make a decision in the matter. Where an inmate is not allowed to keep legal materials, 
they will be stored in a secure place at the facility. The inmate will be allowed access to specific ma- 
terials that he requests if the request does not threaten security interests as enumerated in this Rule. 

History Note: Filed as a Temporary Amendment Eff. May 25, / 984, for a 
Period of 38 Days to Expire on July J, 1984; 
Filed as a Temporary Amendment Eff. August 24, 1983, for a 
Period of 38 Days to Expire on October J, 1983; 
Statutory Authority G.S. 148-4; 148-11; 148-13; 
Eff February 1, 1976; 
Amended Eff November I, 1991; July I, 1984; October 1, 1983; July I, 1983. 

SECTION .0700 - TRANSFER BRANCH 

.0701 GENERAL 

.0702 APPLICATION 

.0703 PRECAUTIONS 

.0704 TRANSFER BRANCH PERSONNEL 



History \ote: Statuton' Authority G.S. 148-4; 148-11; 148-36; 
Eff Julv I. 1976; 
Amended Eff March 31, 1981; 
Repealed Eff November 1 , 199 L 

SECTION .0800 - CONTRABAND CONTROL 

.0801 DEFESITION 

.0802 CON I ROLLED SUBSTANCES 

History Note: Filed as a Temporary Amendment Eff. July 22,1983, for a 
Period of 41 Days, to Expire on September 1 , 1983; 
Statutory Authority G.S. 148-11; 148-13; 148-18.1; 
Eff July I, 1976; 

Amended Eff. September 1 , 1983; November 1 , 1976; 
Repealed Eff November f I99L 

SECTION .0900 - TRACKING STATIONS 

.0901 GENERAL 

.0902 PERSONNEL AND EQUIPMENT 

.0903 SPECIAL ORDERS 

History Note: Statutory Authority G.S. 148-4; 148-1 1; 
Eff July I, 1976; 
Repealed Eff. November I, 1991. 



SECTION .1000 - CONTROL OF FS.MATES 



.1001 CONTROL PROCEDURE 
.1002 RESPONSIBILITY 

History Note: Statutorj- Authority G.S. 148-4; 148-11; 
Eff July 1, 1976; 



959 6:14 NORTH CAROLINA REGISTER October 15, 1 991 



FINAL RULES 



Amended Eff. November 1 , 1990; 
Repealed Eff. November I, 1991. 

SECTION .1100 - TRANSPORTING INMATES 

.1101 GENERAL 
.1102 SECURITY 

History Note: Statutory Authority G.S. 148-4; 148-1 1; 
Eff July 1. 1976; 
Repealed Eff November 1 , 1991. 

SECTION .1200 - INSPECTIONS 

.1201 GENERAL 
.1202 rSSPECTIONS 

Ilistoiy Note: Statutory Authority G.S. 148-4; 148-11; 
Eff July 1, 1976; 
Repealed Eff November I, 1991. 

SECTION .1300 - CORRECTIONAL OFFICERS 

.1301 GENERAL 

.1302 DUTIES OF CORRECTIONAL OFFICERS 

.1303 GENERAL ORDERS 

Uistorv Note: Statutory Authority G.S. 148-4: 148-1 1; 
Eff July I, 1976; 
Repealed Eff November I, 1991. 

SECTION .1400 - CUSTODIAL AGENTS 

.1401 GENERAL 

.1402 OTHER STATE EMPLOYEES AS CUSTODIAL AGENTS 

Histoty Note: Statutorv Authority G.S. 148-4; 
Eff July I, 1976; 
Repealed Eff November I. 1991. 

SECTION .1500 - USE OF FORCE 

.1501 GENERAL 
.1502 APPLICATION 

History Note: Statutory Authority G.S. 148-1 1; 148-46; 
Eff Jidv I, 1976; ' 

Amended Eff August 1, 1989; February 1, 1986; 
Repealed Eff. November I. 1991. 

.1503 PURPOSE 

The purpose of this policy is to provide Division of Prisons' personnel direction in the use of non- 
deadly and deadly force, documentation requirements, and reporting procedures for use of force inci- 
dents. 

Hislorv Note: Statutory Aulhoritv G.S. 148-11; 148-46; 
Eff November 1, 1991. 

.1504 POLICY 



6:14 NORTH CAROLINA REGISTER October 15, 1991 960 



FINAL RULES 



The fallowing general guidelines apply to the use of force in the Division of Prisons. 

(1) The use of force shall be permissible only to the extent reasonably necessan,' for a proper 
correctional objective. Excessi\e force is prohibited but this prohibition sh;ill not be construed to 
mean that staff must suffer an assault upon their person before taking appropriate defensive action 
or that the use of force by another must be met with strictly equal force on the part of the staff. 
The degree of force necessary to control the situation shall be determined in the context of the 
number of staff present, the type of resistance employed, the relative size and strength of the per- 
sons involved and similar criteria. 

(2) An officer is authorized to use whatever degree of force reasonably appears to be necessary to 
defend the officer or a third party from imminent assault. Reasonable force is authorized in order 
to pre\ent an escape or to ensure compliance with a lawful order or to protect property or to return 
an escapee to custody. 

(3) An officer may lawfully utilize deadly force to: pre\ent the escape of a con\'icted felon, prevent 
or stop a life threatening assault on themselves or another person, or to prevent escape of a pre-tnal 
detainee awaiting felony charges. Deadly force may not be used solely to protect property or en- 
sure compliance with a lawful order that does not implicate personal safety. 

(4) .\n officer is prohibited from using force solely as a result of verbal provocation, howe\er ex- 
treme. An officer shall not strike or attempt to strike an inmate who has abandoned liis resistance 
or who is effectively restrained. The use of force as punishment is strictly prohibited. 

(5) When employing any degree offeree, the officer shall use reasonable care to ensure that innocent 
parties arc not endangered by such use of force. 

(6) The long and short batons are the only indi\idual impact devices authorized for duty. I'ach fa- 
cility will designate the posts approved to routinely be issued batons. IIowe\'er. in extreme cir- 
cumstances staff are expected to use any means available to protect themselves from assault and 
injury. 

(7) Fireamis will be limited to those approved by the Director of Prisons. Personal weapons arc 
prohibited. ,\11 weapons must be the property of the Division of Prisons. 

(8j If an inmate complains of a use of force in a grievance and a Use of Force Report was not 
completed, the Officer-In-Charge wUl investigate. The Investigation should begm with a medical 
examination as soon as possible. If the Officer- In-Charge determines that a Use of Force Report 
should have been completed, the responsible officer will be subject to disciphnarv action. 

(9) WTien time and circumstances permit, a Sergeant or supervisor of higher rank will be present to 
supervise anticipated use of force or situations likely to result in use of force. 

(10) An officer should attempt non-forcible methods of inmate control, but only to the extent rea- 
sonably possible under the circumstances as they appear to that officer. 

(11) -Application of force will depend on a determination by the Officer on the scene who will be 
guided by the facility's Standard Operating Procedures. Standard Operating Procedures shaU be 
appro\ed by the Area, Complex Administrator or Institution Head and shall include the necessary 
procedures for implementing this polic>'. 

(12) This pohcy recognizes that use of force is more likely to occur in segregation/maximum custody 
facilities and, therefore, an officer wiU not be assigned to a single cell segregation cell block unless 
he has completed the basic training program or is in an on-the-job training capacity in a double 
posting with a trained officer or in emergency and life threatening situations. 

(13) Fscapes. 

(a) .An escape is any indi\idual attempting to lease the custod>- of the Di\ision of Prisons without 
prior authorization. 

(b) Deadly force is not authorized against a misdemeanor escapee or in the apprehension of a 
misdemeanor escapee, except when there is a clear and present danger of serious injury or loss 
of life to an employee or third party. 

(c) Deadly force is not authorized against a pre-trial detainee escapee awaiting misdemeanor charges. 

(d) Dead!)- force is authorized against a felon escapee. 

(e) Deadly force is authorized against a pre-trial detainee awaiting felony charges. 



History Sate: Stalulory Authority G.S. 14S-II: I4S-46; 
Eff. .\oyember J, 1991. 

.I5(»5 PR()( KDLRKS 

(a) Hands-on Physical Force. 



961 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(1 



(b) 
(1 

(2 
(3 



(c) 
(1 
(2 

(d) 
(1 



{2' 

(3 
(4 

(5 

(6 



(7 

(e) 
(1 



(2 

(3 
(0 
(1 

(2 
(3 



Hands-on physical force, including approved unarmed self defense techniques, is authorized to 
restrain or otherwise control an inmate when control through communication has failed. 
Hands-on physical force may be used to defend the officer or a third party from imminent as- 
sault, or to prevent an escapee, or to protect property, or to ensure comphance with a lawful 
order or to return an escapee to custody. 
Chemical Mace. 
Chemical mace may be used to the extent necessary to control or deter violent or aggressive 
acting inmates. 

An officer should attempt to avoid discharging mace into direct contact with an inmate's face. 
An inmate subjected to mace wiQ be moved to a ventilated area and will be afforded an oppor- 
tunity to shower and change clothes once control has been restored. An inmate's refusal of the 
opportunity to shower and change clothes shall be documented in the Use of Force Report. 

Individual Control Devices (Long Baton, Short Baton). 
Individual control devices may be used to control violent or aggressive inmates. 
Intentional overhead strikes with a baton are prohibited unless deadly force is to defend himself 
or others from imminent serious personal injury or deadly peril. 

.Mechanical Restraints. 
Approved Division of Prisons' mechanical or physical restraints to immobilize an inmate, may 
be used to control inmates who have demonstrated behavior that presents a significant risk of 
injury to self or others. Interim steps such as hand-cuffs, wrist chains, and leg-cuffs may be used 
to attempt to control the inmate before immobilizing. 

The Officer-In-Charge may authorize the use of restraints to immobilize an inmate for up to four 
hours. If the inmate is immobilized with the use of restraints, the Officer- In-Charge should 
immediately notify the Area, Institution or Correctional Center Duty Officer, Psychological 
Services staff, and Medical staff. 

The Area, Complex Administrator, Institution Head, or designee may authorize immobilization 
of an inmate for up to 48-hours. Immobilization beyond four hours is not authorized except 
at prison locations which have 24-hour Health Care staffmg and single cell facilities. 
Immobilization for longer than 48-hours shall require transfer to Central Prison, or to the North 
CaroUna Correctional Institution for Women for appropriate treatment and supervision. 
Transfer of a male inmate under the age of 18 to Central Prison will require appro\al of the 
Command .Manager or the Division Duty Officer. 

The approving authority for the use of restraints for immobilization should consult with the fa- 
cility .Medical staff as well as the facility or Area Mental Health staff who will examine the in- 
mate as soon as possible, and at least every four hours thereafter, and will document those 
examinations in the inmate's medical record. 

Reasonable effort will be made to avoid undue physical hardship for restrained inmates. Re- 
strained inmates will be temporarily released from immobilization every three hours during the 
first and second shifts, so they may eat, drink, and take care of their bodily functions. During 
the third shift, an inmate may not be temporarily released, unless the inmate requests release to 
take care of bodily functions. Periodic observation will be required every 15 minutes while 
immobihzed and wlU be documented on Form DC- 141. 

The use of therapeutic restraints as part of mental health treatment is outUned in the Health Care 
Procedures Manual at Section 418. 

Tear Gas. 
Tear gas canisters and other tear gas weapons will be used only if an exit is available to a venti- 
lated area or can be made available to a ventilated area for the inmates following the return of 
control. 

Affected inmates will be given the opportunity to shower and wiU receive clean clothes once 
control has been established. 
Only the Officer- In- Charge of the correctional facility may authorize the use of tear gas. 

Firearms. 
The use of firearms are authorized in the deadly force situations described in Rule .1502 (c) of 
this Section. 

In an emergency, the Emergency Response Commander may authorize the use of firearms to 
assure compliance with a lav\ful order when failure to comply jeopardizes the safety of the 
public, staff, or other inmates to the extent that serious injury' or death is likely to occur. 
No firearms of any description shall be allowed at any time in a correctional facility except as 
directed by the Emergency Response Commander. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 962 



FINAL RULES 



(4) No firearm is to be left unattended or unsecured at any time or in any place accessible to the 
public or inmates, either directly or indirectly. 

(5) An of[K'er should apply good safety techniques when it is necessary to run with a firearm in hand. 

(6) An officer should avoid firing from a moving vehicle. 

(7) An officer should avoid firing warning shots but when good judgment dictates their use, care 
shall be taken to not injure other persons or property. 

History Note: Statutory Authoritv G.S. I4S-1 1; 148-46: 
Eff. November I, 1991. 

.1506 MEDICAL RESPONSE 

(a) A medical evaluation will be conducted on each inmate involved in a use of force incident. 
Medical evaluations will be made available to staff involved in a use of force incident. Any injury to 
staff should be evaluated and documented and treatment provided. .Medical evaluation and treatment 
of an inmate shall be provided by correctional medical staff or, if not available, by the nearest medical 
facility. 

(b) The Officer- In-Charge will determine whether or not immediate medical attention is required for 
an inmate. Application of one or more of the following circumstances will require medical evaluation 
and treatment immediately: 

( 1) The inmate complains of injury; 

(2) Staff observe any injury; 

(3) Staff employed a firearm, mace, a baton or any other device likely to cause injury; or 

(4) The amount of force used has rendered the inmate immobile, unconscious or unable to com- 
municate. 

Inmates not requiring immediate medical attention will receive a medical evaluation as soon as medical 
staff are available. 

History Note: Statutory Authoritv G.S. I I4S-I I: 148-46: 
Eff. November /, 1991. 

.1507 REPORTING PROCEDIRES 

(a) Each correctional staff member involved in an incident requiring the use of force will inmiediately 
make a comprehensive report to the Officer-ln-Charge of the facility. The report will include all rele- 
vant facts including the time and place of the incident, the names of aU staff and inmate participants 
and witnesses, specific nature, description, and duration of the use of force, and an explanation of the 
circumstances that made use of force necessary. 

(b) The Officer-In-Charge will report to the Director of Prisons or Division Duty Officer through the 
chain of command, or the Division Duty OtTicer structure, any use of force incident involving fireanns 
or any use of force resulting in serious injury to inmates or staff (See 5 NCAC 2F .2400, Reporting 
Procedures). 

(c) The Officer- In-Charge or designee wiU then in\estigate to determine whether the reports of the 
involved staff are accurate and complete and will order additional reports and information as necessary. 

(d) As part of the investigation, the Officer-In-Charge or designee shall; 

{ 1 ) Obtain a statement from the involved inmate to allow an explanation of his version of the inci- 
dent; 

(2) Obtain statements from staff and inmate witnesses; 

(3) Obtain a statement from the facility health authority or other medical personnel who examined 
or treated the inmate and br staff; and 

(4) Make a determination as to whether the force used was in accordance with this policy. 

(e) The Officer- In-Charge or designee will report the results of the investigation on Form DC-422, 
Use of Force Report, and submit the report through the chain of command to the appropriate C'om- 
mand .Manager. Written statements of all witnesses should be attached. 

(f) Use of Force Reports should be completed within five working days. Extensions may be granted 
by the ^Vrea/ Complex Administrator or Institution Head. 

History Note: Statutory Authoritv G.S. 148-11; 148-46; 
Eff November I. 1991. 

.150.S \ IDEO RECORDINC; OF USE OF FORCE INCIDENIS 



965 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(a) Facilities designated by the Director will use video cameras to record anticipated use of force in- 
cidents. 

(b) The Superintendent/Warden shall issue Standard Operating Procedures governing the operation, 
viewing and maintenance of video tape records. 

(c) During an emergency response operation, the Emergency Response Commander may deviate 
from the requirements of this policy. 

(d) FaciLity procedures will be approved by the appropriate Command Manager and will include the 
following requirements: 

(1) A video recording shall be made of all incidents where correctional staff anticipate the use of 
physical force. 

(2) A sufficient number of staff shall be trained in the use of video equipment to ensure 24-hour 
availability. 

(3) A sufficient number of supervisory staff shall be designated as Incident Supervisors to direct the 
recording of anticipated use of force incidents. 

(4) Prior to taking corrective action against the inmate, each recording wLU begin with an on-camera 
briefmg of the staff by the Incident Supervisor regarding what is to take place. 

(e) Video Tape Records Maintenance and Use. 

(1) All video tape recordings will be documented by the Incident Supervisor on the Form DC-422A 
and attached to the Use of Force Report (Form DC-422). 

(2) AH video tape recordings of use of force incidents will be transcribed to a master video, docu- 
mented on a master tape ledger, and maintained for five years. No master tape will be disposed 
of without consultation with the Attorney General's Office to determine if the tape should be 
preser\'ed for litigation purposes. 

(3) Viewing of video tapes will be for the purposes of investigation and other official departmental 
uses. 

(4) The superintendent/warden shall approve any viewing or use of video recordiags by departmental 
personnel. 

(5) The Director of Prisons or designee shall approve the viewing or use of video recordings by 
persons outside the Department of Correction. 

I/isloty Note: Statutoiy Authoritv G.S. I4S-I I; I4S-46; 
Eff. November 1. 1991. 

SECTION .1600 - M.ANAGE.MENT OF SECURITY POSTS 

.1601 RESPONSIBILITY 
.1602 SECURITY POSTS 



History Note: Statutory Authority G.S. 148-4; 148-11; 
Eff. September 15, 1976; 
Repealed Eff November I, 1991. 



SECTION .1700 - EMERGENCY RESPONSE 



.1701 POLICY 

.1702 PLANS FOR EMERGENCIES 

.1703 REPORTESG PROCEDURES 

History Note: Statutory Authority G.S. 148-4; 148-11; 
Eff September 15,' 1976; 
Repealed Eff. November 1 , 1991. 



SECTION .1800 - CONTROL OF FIREARMS 



.1801 GENERAL 

.1802 RESPONSIBILITIES 

History Note: Statutory Authority G.S. 148-5; 148-11; 
Eff. November 1, 1976; 



6:14 NORTH CAROLINA REGISTER October 15, 1991 964 



FINAL RULES 



Amended Eff. October I. 1990; 
Repealed Eff. Sovember I, 1991. 

.1803 APPROVED STANDARD ITEMS 

.1804 W EAPONS MArSTENANCE SCHEDULE 

.1805 WEAPONS INTENTORV, CONTROL, AND ISSUE 

.1806 LOSTWTAPONS 

.1807 SNIPER EQUIPMENT 

.1808 PROEICIENCV 

.1809 STORAGE OF WTAPONS 

His ton' \ote: Statutory Authority G.S. 148-5; 1 48-1 1; 
Eff. October I. 1990; 
Repealed Eff Sovember I. 1991. 

SECTION .1900 - CUSrODY AND SECURITY 

.1901 SELECTION AND CLASSIFICATION OF INMATES 

.1902 SI PERVISORV PERSONNEL 

.1903 TRANSPORIING INMATES 

.1904 SUPERMSION DURING WORK ASSIGNMENTS 

.1905 WEATHER GONDII IONS 

.1906 SPECIAL DUTIES FOR SUPERINTENDENT 

.1907 FIREARMS: MACE AND RESIRAINIS 

History Sole: Statutory Authoritv G.S. I43B-26I.I; 148-26; 
Eff May I, 1978; 
Repealed Eff Sovember I. 1991. 

SECTION .2400 - KEY CONTROL 

.2401 PURPOSE 

.2402 RESPONSIBILITY 

.2403 PROCEDURES 

.2404 OIHER REQUIREMENTS 

History S'ote; Statutory Authoritv G.S. 148-1 1; 
Eff January I. 1990; 
Repealed Eff Sovember 1. 1991. 

SECTION .2600 - FSMATE DRUG AND ALCOHOL TESTESG 

.2601 PURPOSE 

The purpose of this policy is to specify the conditions and procedures for conducting drug testing of 
inmates. The Di\ision of Prisons has a responsibility to protect the public, to provide a safe environ- 
ment for staff and inmates, and to enforce the rules and regulations go\eming inmate conduct. The 
goal of the Division of Prisons is to prescr\e order jmd mamtain security. Drug use presents a threat 
to the safety of staff and inmates. Drug testing of inmates combined with appropriate sanctions is an 
effective means of suppressing drug use, drug trafficking, and drug-related infractions, including insti- 
tutional N'iolence. 

History Sole: Statutory .Authority G.S. 148-1 1; 
Eff Sovember 1, 1991. 

.2602 RESPONSIBILITY 

(a) 1 he Chief of Security is responsible for establishing and monitoring the drug testing program for 
inmates in the Division of Prisons and monitoring test results. 

(b) The superintendent warden is responsible for the implementation of the drug testing program at 
that facility. 



965 6:14 SORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(c) Facility medical staff are responsible for reviewing medication orders for inmates who have tested 
positive for drugs. 

(d) Staff involved in the drug testing program at the facility are responsible for carrying out their 
duties according to the standard operating procedures for the drug testing program. 

(e) All staff of the Division of Prisons is responsible for reporting to the facLhty superintendent or 
designee any evidence and observations that suggest illegal drug use or other drug related activity. 

(f) Drug testing technicians are responsible for testing urine samples and reporting results, and 
maintaining all drug testing forms and test data. 

Uistorv Sote: Statutorv Authority G.S. I4S-I I; 
Eff. November I, 1991. 

.2603 IRINALVSIS 

(a) Reasons for testing inmates. The following are examples of when an inmate may be subject to 
urinalysis: 

(1) Upon initial admission to the Division of Prisons or upon admission to specified facilities in- 
volved in the drug testing program; 

(2) As part of the random drug testing program; 

(3) When an inmate is found to be in possession of drugs or drug paraphernalia or when drugs or 
drug paraphernalia are found in an area that is controlled, occupied, or inhabited by the inmate; 

(4) When staff have documented reason to believe that the inmate has or is usmg drugs. This may 
be based on the behavior of the inmate or on rehable information from informants. The reh- 
ability of the informant should be documented; 

(5) Wlien suspicious behavior that suggests drug use or drug related activity by the inmate or his 
visitors is observed during visitation; 

(6) When an inmate returns from any community based program late or in some suspicious way that 
suggests drug use or drug related activity; 

(7) y\s part of a drug abuse prevention program; 

(8) \\Tien an inmate has tested positive on a pre\ious urinalysis. 

(9) When an inmate is being considered for placement in community based programs such as work 
release, study release, family visits, and the community volunteer program. 

(b) Authority to designate inmates for testing. 

(1) Inmates selected for random testing will be chosen by a random selection process, whereby the 
identity of the inmate is not known by selection personnel when the inmate is chosen for testing. 

(2) Other inmates selected for testing will be identified by the facility superintendent or designee. 

(c) Sample Collection. 

( 1) Before collecting a urine sample, the processing officer will positively identify the inmate by name 
and prison number. 

(2) A clear, non-reuseable plastic container designed for the collection and storage of urine samples 
will be provided to the inmate by the processing officer just prior to the collection of the urine 
sample. 

(3) The observing officer, who will be of the same sex as the inmate being tested, will escort the 
inmate to an area that provides privacy from visual observation by others. The observing officer 
will give the inmate a direct order to provide a urine sample. The collection of the urine sample 
will be observed only by the inmate and the observing officer, unless there is a legitimate security 
need for the presence of additional staff. 

(4) If an inmate is unwilling to provide a urine sample within two hours of an order to do so, the 
collecting officer should initiate disciplinary action against the inmate for disobeying a direct 
order. To eliminate the possibility of diluted or adulterated samples, staff shall keep the inmate 
under direct visual supervision during this two hour period or until a urine sample is furnished. 
To assist the inmate in giving a sample, staff shall offer the inmate eiglit ounces of water at the 
beginning of the two hour period. An inmate is presumed to be unwilling if the inmate fails to 
provide a urine sample within the two hour period. An inmate may rebut tliis presumption 
during the disciplinary process. 

(5) The inmate will seal the sample container, the processing officer wUl label the container, and the 
inmate will be instructed to sign the "This is my sample" line of the label. If the inmate refuses 
to sign the label, the processing officer will document the inmate's refusal on the label. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 966 



FINAL RULES 



(6) In the presence of the inmate, the processing officer will place tamper resistant evidence tape on 
the container, place the sealed container in a plastic ziploc bag, which is then sealed with evi- 
dence tape, and place the bag with the container in the transport rack. 

(d) Specimen Control. 

(1) All samples must be held in a secure environment until testing is conducted. Samples held more 
than 24 hours before testing must be refrigerated. 

(2) A written record on the location and transportation of the urine samples at all times must be 
maintained so that a chain of custody is documented from the time that the mmate pro\'ides the 
urine sample untd it is tested by the lab technician. Whenever custody of the specimen changes, 
the receiver will check the seals on the containers and document such. 

(e) Results of Testing. 

(1) .>VU samples with a positi\-e result wLU be re-tested using the same testing technology. rVfter a 
positive result is reported to the facility superintendent, facility medical staff will review the in- 
mate's medical records to determine what prescnbed or over the counter medications the inmate 
is currently taking and consult with the laboratory technician to discuss the possibility of a false 
positive result. If there is no basis for a false positive result, disciplinary action will be initiated 
against the mmate for manufacturing, possessing, introducing, seUing or using any unauthorized 
controlled substance, unauthorized intoxicant or alcohoUc beverage, or possessing associated 
equipment. 

(2) .An inmate with a negative test result is still subject to disciplinary action if there is behavioral 
or other evidence to warrant such disciplinary action. 

(3) If disciplinary action is taken against an inmate as a result of the test results, the inmate will be 
given the opportunity during the disciplinary hearing to challenge the validity of the test results. 

(4) If an inmate refuses to submit a urine sample, disciplinary action will be initiated against the 
inmate for willfully disobeying or faiUng to obey promptly or causing another inmate to disobey 
or fail to obey promptly and properly any lawful order of a prison official or employee, or any 
lawful order to which subject. 

History Sole: Statuton Authority G.S. 149-1 1: 
Eff. \ovember I, 1 99 1. 

.2604 BRE.ATH ALCOHOL TESTPsG 

(a) Reasons for Testing' Inmates. The foUowing are examples of when an inmate is subject to breath 
alcohol testing: 

(Ij When staff has documented reason to believe that the inmate has or is using alcohol. This may 
be based on the behavior of the inmate or on reliable information from informants. The reU- 
ability of the informants should be documented. 

(2) WTien an inmate is found to be in possession of alcohol. 

(3) As part of an alcohol use prevention program. 

(4) As part of the random breath alcohol testing. 

(5) WTien an inmate returns from any community based program late or in some suspicious way that 
suggest alcohol use or alcohol related activity. 

(6) WTien an inmate has tested positive on a previous breath alcohol test, 
(bj Authority to Designate Irmiates for Testing. 

(1) Inmates selected for random testing wUl be chosen by a random selection process, whereby the 
identity of the inmate is not known by selection personnel when the inmate is chosen for testing. 

(2) Other inmates selected for testing wlU be identified by the facility superintendent or designee. 

(c) Sample Collection. Procedures for breath alcohol testing are outlined in the instructional manual 
for the equipment used to conduct the breath alcohol testing. Breath alcohol testing will be done by 
persormel appropriately trained in breath alcohol testing procedures and breath alcohol testing equip- 
ment. 

(d) Results of Testing. 

(1) Based on the results (any positive reading) of the breath alcohol testing, disciplinary action will 
be initiated against the inmate for manufacturing, possessing, introducing, selUng or using any 
authorized controlled substance, unauthorized intoxicant or alcoholic beverage, or possessing 
associated equipment. Confirmatory testing of breath alcohol testing will not be conducted, 
unless the testing officer has doubts as to the validity of that particular inmate's test. 



967 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



(2) If disciplinary action is taken against the inmate as a result of the breath alcohol testing, the in- 
mate will be given the opportunity during the disciplinary hearing to challenge the validity of the 
test results. 

(3) If an inmate refuses to submit to a breath alcohol test, disciplinary action will be initiated against 
the inmate for willfuUy disobeying or failing to obey promptly or causing another inmate to 
disobey or fail to obey promptly and properly any lawful order of a prison official or employee, 
or any lawful order to which subject. 

History Note: Statutory Authority G.S. 14S-1 1; 
Eff. November I, 1991. 

TITLE 17 
DEPARTMENT OF REVENUE 

CHAPTER 1 - DEPARTMENTAL RULES 

SUBCHAPTER IC - GENERAL AD.MIMSTRATION 

SECTION .0300 - GENERAL ADMINISTRATIVE EOR.MS 

.0323 FEE FOR REPORTS, DOCUMENTS, I.E., TAX FORMS 

The Department of Revenue, as provided for by law, may charge a fee of ten doUars ($10.00) for 
certain tax forms when a request for a specific form exceeds 25. The ten dollar ($10.00) fee is for a 
minimum of 100 forms and allows the Department to recover printing and mailing costs. There is no 
charge for a form when the request for that particular form does not exceed 25. A listing of the forms 
for which a ten doUar ($10.00) fee may be charged are listed below: 
D-400 - Individual Income Tax Return 

D-400EZ - Individual Income Tax Return 
D-400X - Amended Individual Income Tax Return 
D-401 - Individual Income Tax Instructions 

D-400TC - Tax Credits 
D-403 - Partnership Rctum 

D-403A - Instructions for Filing Partnership Return 
NC-40 - Estimated Income Tax for Individuals 
CD-404 - Domestic Corporation Franchise and Income Tax Return 
CD-405 - North Carolina Franchise and Income Tax Return - Multi-State Corporation 
CD-444 - yVmcnded North Carolina Corporation Franchise and Income Tax Return 
CD-415 - Corporation Franchise and Income Tax Instructions 
CD-401S - S Corporation Franchise and Income Tax Return 
H-80I - Intangible Personal Property Tax Return 

Schedules - Schedule of Accounts Receivable and Accounts Payable; Proration of Payables 
A & B Allocation of Intangible Personal Property Tax 

Schedule C - Schedule for Computing Taxable Value of a Beneficial or Equitable Interest in a Foreign 

Trust 
H-819 - Intangibles Tax Instructions 

D-407 - Fiduciary Return 

D-407A - Instructions for Filing Fiduciary- Return 

D-410 - Application for Automatic Extension of Time to File State Income Tax Returns 

D-401 A - Application for Additional Extension of Time to File State Income Tax Returns 
D-422 - Underpayment of Estimated Tax by Individuals 

D-422A - Annualized Income Installment Worksheet 
D-499 - Application for Tax Credit for Qualified Business Investments 

CD-414A - North Carolina Corporation Income Tax Credit 
CD-414B - Credit for New Jobs in Distressed Counties 

CD-419 - Application for Extension for Filing Corporate Franchise and Income Tax Return 
CD-429 - Declaration of Estimated Income Tax 
H-834 - Request for Extension for Filing Return 

The Department makes a fifteen dollar ($15.00) charge for the book entitled "Revenue I^ws of North 
Carolina" for each additional copy in excess of the one free copy allowed per request. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 968 



FINAL RULES 



Histoty Sole: Statutory Authoritv G.S. 105-257; 105-262; 
Eff. \ member I. I'WI. 

CHAPTER 4 - LICENSE AND EXCISE TAX DIMSION 

SL BCHAP I ER 4D - SOFT DRPsK TAX 

SECTION .0900 - MONTHLY REPORT, INTOICE AND BOND REQUIREMENTS 

.0908 INA OICINC; REQUIREMEN IS 

(a) Sales invoices of distributors and wholesalers, whether resident or nonresident, liable for the tax 
shall indicate payment of the excise tax on bottled soft drinks and base products by the wording "North 
Carolina Soft Drink Tax Paid." 

(b) /Vll sales invoices of nonresident distributors or wholesalers shaU show the point of origin and 
mode of transportation for all shipments of bottled soft drinks or base products into this State. 

Histoiy Xote: Statutory Authority G.S. 105-113.51; 105-113.58; 105-262; 
Eff. October 1, 1991; 
.Amended Eff. Sovember 1 , 1991 . 

CHAPTER 8 - INTANGIBLES TAX DI\ ISION 

SECTION .0500 - NOTES: BONDS .AND OTHER EVIDENCES OF DEBT 

.0504 NO lES: BONDS: ETC. SUBJECT lO TAX.VLION 

Notes, bonds and other evidences of debt which are subject to intangibles tax include, but are not 
limited to, the following: 
(Ij personal and business notes receivable; 

(2) mortgage notes recei\'able; 

(3) commercial paper; 

(4) conditional sales contracts (written agreements whereby title to the property remains with the 
seller until the goods are paid for): 

(5) lease agreements with "option to purchase" which are classified as conditional sales contracts for 
sales tax purposes; 

(6) notes due from affiliated companies; 

(7) accrued interest receivable from notes, bonds and other evidences of debt; 
(S) participation certificates; 

(9) bonds and debentures of both domestic and foreign corporations; 

(10) church bonds; 

(11) bonds and evidences of debt of other states and their political subdivisions; 

(12) bonds, debentures, master notes and capital notes (not certificates of deposit) issued by com- 
mercial banks; 

(13) bonds and notes of the I'cderal National Mortgage Association; 

(14) bonds of public housing authorities organized under laws of other states; 

(15) sales or gift agreements whereby the seller or donor has only an irrevocable right to receive in- 
come on an "annuity" basis; Actual value of such agreements should be determined in the same 
manner as a beneficial interest in a foreign trust; 

(16) investment contracts and accumulation plans; 

(17) "Repurchase Agreements" issued by financial institutions; 

(18) notes, bonds, participation certificates (including GNMA pass-through and pooled income cer- 
tificates) which are the obligations of none.xempt quasi go\cmmental agencies, commercial banks 
or other mortgage lenders c%en though the payment of principal and interest is guaranteed by the 
U.S. government; 

(19) land sales contracts; 

(20) amounts due from a commercial factor as a result of the sale of accounts receivable pursuant to 
a factoring agreement; 

(21) receivables of banks under retail credit card plans. 



969 6:14 NORTH CAROLINA REGISTER October 15, 1991 



FINAL RULES 



History Note: Statutory Authority G.S. 105-202; 105-262; 
Eff. February I, 1976; 
Amended Eff. November 1 , 1991 ; February I, 1991; August 1 , 1986; December I , I9S5. 



6:14 NORTH CAROLINA REGISTER October 15, 1991 970 



ARRC OBJECTIONS 



1 he Administrative Rules Re\-iew Commission (ARRC) objected to the following rules in accord- 
ance with G.S. 143B-30.2(c}. State agencies are required to respond to ARRC as provided in G.S. 
l43B-30.2(d). 



T. 



cmporaiy Rules are noted hv "*" . These Rules ha\e already gone into effect. 



ECONOMIC AND COMMUNITY DEVELOPMENT 

IZmploxment and draining 

* 4 SCAC :UB .0903 - Allocation of Grants 
\o Response from Agencv 

* 4 .\CAC 20B .0905 - Eligibility 
\o Response from Agencv 

* 4 \CAC 20B .0907 - Cost Limitations 'Categories 
\o Response from Agencv 

* 4 .\CAC 20B .0908 - Reporting 
\o Response from Agencv 

* 4 SCAC 20B .0909 - Performance Standards 
\o Response from .-i^encv 

* 4 .\CAC 20B .091/ -"fund Availability 
\o Response from .-igency 

EDLCAIION 

Elcmentar\- and Secondars' Education 

16 .\CAC 6B .0001 - School Bus Drh-ers 

16 SCAC 6D .0103 - Graduation Requirements 

* 16 XCAC 6E .0301 ■ Dri\-er Training 
Agency Responded 

ENA IRONMENT, HEAETH. AND NAIT RAE RESOURCES 

Adult Health 

15A SCAC I6A .0804 - Financial Eligibility 

.\o Response from Agency 

Agency Responded 

So Response from Agency 
15A SCAC 16A .0806 - Billing the HI]' Health Services Program 

So Response from .Agency 

Agency Responded 

So Response from Agency 

Coastal Management 

15A SCAC 7J .0301 - Who is Entitled to a Contested Case Hearing 
15A .\C.4C ^y .0302 - Petition for Contested Case Hearing 

En\'ironmental Management 

15A SCAC 2D .1102 - Applicability 



ARRC 
ARRC 
ARRC 
ARRC 
ARRC 
ARRC 



Objection 
Objection 
Objection 
Objection 
Objection 
Objection 



8:22 91 
9 1991 

8 22 91 
19 91 
22 91 
19 91 
22:91 
19 91 

8' 22:91 

9 19 91 
8 22 91 
9,19,91 



ARRC Objection 9 19 91 

ARRC Objection 9 19 91 

ARRC Objection 8 22 91 

9,19.91 



ARRC Objection 118 91 
2 25 91 
So Action 3 2191 

So Action 4,18 91 

ARRC Objection 1 18 91 
2; 25:91 
So Action 3' 21 91 

So Action 4 18 91 



ARRC Objection 9 19 91 
ARRC Objection 9 19 91 



ARRC Objection 8 22 91 
So Action 9 19 91 



971 



6:14 \ORTH CAROLINA REGISTER October 15, 1991 



ARRC OBJECTIONS 



ISA NCAC 2D .1203 - Test Methods and Procedures 

Agency Revised Rule 
ISA NCAC 2D .1208 - Operator Training Requirements 

ISA NCAC 2D .1209 - Compliance Schedules 
Agency Revised Rule 

Forest Resources 

ISA NCAC 9C .1007 - America the Beautiful Grant Program 
Agency Revised Rule 

Wildlife 

ISA NCAC lOA .1001 - Particular Offenses 

Agency Revised Rule 
ISA NCAC lOK .0001 - Course Requirements 

Agency Revised Rule 

FILMAX RESOURCES 



ARRC Objection 
Obj. Removed 
ARRC Objection 
No Action 
ARRC Objection 
Obj. Removed 



8/22/91 
8/22/91 
8/22/91 
9/I9/9I 
8/22191 
8/22/91 



ARRC Objection 9/19/91 
Obj. Removed 9/19/91 



ARRC Objection 9/19/91 

Obj. Removed 9/ 19/91 

ARRC Objection 7/18/91 

Obj. Removed 8/22/91 



Aging 

10 NCAC 22M 
lONCAC 22M 
10 NCAC 22M 
lONCAC 22M 
lONCAC 22M 
I0NCAC22N 
I0NCAC22N 
10 NCAC 22N 



.0101 - Scope of Care Management ARRC Objection 9/19/91 

.0102 - Definitions ARRC Objection 9/19/91 

.0103 - Target Population ARRC Objection 9/ 19/91 

.0203 - Assessment and Reassessment ARRC Objection 9/19/91 

.0204 - Care Planning ARRC Objection 9/ 19/91 

0101 - Definitions for Confidentiality of Client Data ARRC Objection 9/19/91 

020S - Security of Records ARRC Objection 9/19/91 

0208 - Client Access to Records ARRC Objection 9/19/91 



Children's Ser\'ices 



10 NCAC 411 .0406 - Responsibility for Training of Team Members 
Pending Correction 

Economic Opportunity 

* 10 NCAC Sir .0102 - Definitions 
No Response from Agency 

* 10 NCAC Sir .0202 - Ineligible Actix'ities 
No Response from Agency 

* 10 NCAC S IF .0402 - Eligibility Requirements 
No Response from As,ency 

* 10 NCAC Sir .OSOT- Grant Agreement 
No Response from Agency 

Facility Services 

10 NCAC 3U .0604 - General Safety Requirements 

Agency Revised Rules 
10 NCAC 3U .0804 - Infectious and Contagious Diseases 

Agency Revised Rules 

Individual and Family Support 



ARRC Objection 7/18/91 
8/22/91 



ARRC Objection 
ARRC Objection 
ARRC Objection 
ARRC Objection 



8/22/91 
9/ 19/91 
8/22191 
9/ 19/91 
8/22/91 
9/19/91 
8/22/91 
9/I9/9I 



ARRC Objection 8/22/91 

Obj. Removed 9/19/91 

ARRC Objection 8/22/91 

Obj. Removed 9/19/91 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



972 



ARRC OBJECTIONS 



10 S'CAC 428 .1201 - Personnel Requirements 

No Response from Agency 

Agency Relumed Rule Unchanged 

Agency Filed Rule with OA H 
10 NCAC 42C .2001 - Qualifications of Administrator 

\'o Response from Agency 

Agency Returned Rule Unchanged 

Agency filed Rule with OAH 
10 \C.1C 42C .2002 - Qualifications of Supcrvisor-in-Charge 

No Response from .4gency 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 
10 NCAC 42C .2006 - Qualifications of Activities Coordinator 

No Response from Agency 

Agency Returned Rule Unchanged 

Agency Filed Rule with OAH 



ARRC Objection 


1118191 




2 j 25,191 


No Action 


3/21191 


Rule Eff 


8101191 


ARRC Objection 


1118191 




2/25/91 


No Action 


3/21/91 


Rule Eff 


8/01/91 


ARRC Objection 


1/18!91 




2/25/91 


No .Action 


3/21/91 


Rule Eff 


8/01/91 


ARRC Objection 


1/18/91 




2/25/91 


No Action 


3/21i91 


Rule Eff 


8i01,91 



Medical Assistance 



10 NCAC 50B .0305 - Depriwvion 
Agency Revised Rule 



ARRC Objection 8122/91 
Obj. Removed 8,22/91 



Mental Health; General 



10 NCAC 14K .0103 - Dejiniiions 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19:91 
9:19/91 


10 NCAC 14K .0320 - Incident Reporting 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19,91 
9/19/91 


10 NCAC 14K .0337 - Emergency Care Permission 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19:91 
9/19/91 


10 NCAC 14K .0351 - Administration of Medication 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9:19:91 
9/19:91 


10 NCAC 14M .0206 - Day Services 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9:i9:9i 

9,19,91 


10 NCAC 14.M .0209 - Community Resources 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9 1 19,91 
9/19,91 


10 NCAC 14M .0409 - Community Resources 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9:19,91 
9/19/91 


10 NCAC 140 .0310 - Provision of Appropriate Activities 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9: 19/91 
9/19,91 


10 NCAC 14P .010! - Scope 
.Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9:19.91 
9/19/91 


10 NCAC 14P .0102 - Definitions 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19/91 
9/19/91 


10 NCAC 14Q .0101 - Policy/ Rights Restrictions' Interventions 
Agency Re\ised Rule 


ARRC Objection 
Obj. Removed 


MS MS 

MS MS 
O MS 


10 NCAC 14R .0104 - Seclusion Restraint Isolation Time Out 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19 91 
9,19,91 


10 NCAC 14R .0105 - Protecti\'e Dex'ices 
Agency Revised Rule 


ARRC Objection 
Obj. Removed 


9/19:91 
9/19/91 


10 NCAC 14S .0102 - Communication Rights 
10 NCAC 14S .0103 - Li\-ing Emironmcnt 


ARRC Objection 
ARRC Objection 


9/19:91 
9 1 19.91 



Mental Health: Other Pro-ams 



973 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



ARRC OBJECTIONS 



10 \CAC ISL .0603 - Svc Purpose/ Eligibility Requirements 

Agency Revised Rule 
10 NCAC 18M .0704 - Staff Requirements 

Agency Revised Rule 
10 NCAC I8Q .0809 - Agreement Between Resident and Program 

Agency Revised Rule 

INSURANCE 



ARRC Objection 9119:91 

Obj. Removed 9j 19191 

ARRC Objection 9! 19191 

Obj. Removed 9/19191 

ARRC Objection 9' 19/91 

Obj. Removed 9/19/91 



Engineering and Building Codes 

// NCAC 8 .0815 - Final Board Order 
Agency Revised Rule 

JUSTICE 

Criminal Information 



ARRC Objection 7/18/91 
Obj. Removed 8/22/91 



12 NCAC 4E .0103 - Advisory Policy Board 

Agency Revised Rule 
12 NCAC4E .0104 - Definitions 

Agency Revised Rule 
12 NCAC 4E .0106 - Manuals 

Agency Revised Rule 
12 NCAC 4 E .0203 - Non-Terminal Access 

Agency Revised Rule 
12 NCAC4E .0301 - User Agreement 

Agency Revised Rule 
12 NCAC 4E .0302 - User Access Fee Agreement 

Agency Revised Rule 
12 NCAC4E .0401 - DC I Terminal Operator 

Agency Revised Rule 
12 NCAC 4E .0403 - Suspension/ Revocation of Operator Certification 

Agency Revised Rule 
12 NCAC 4F .0203 - Hit Conjlrmation 

Agency Revised Rule 
12 NCAC 4F .0301 - Arrest Fingerprint Card 

Agency Revised Rule 
12 NCAC 4F .0404 - Ind's Right/ Re\iewi His/ Her/Crim History Record 

Agency Revised Rule 
12 NCAC 4F .0405 - U se/ CCH / Lici N on-Criminal Justice Emp Purposes 

Agency Revised Rule 
12 NCAC 4F .0501 - Expungements 

Agency Revised Rule 
12 NCAC 4G .0102 - Penalty Provisions 

Agency Revised Rule 
12 NCAC 4G .0201 - Notice of Violation 

Agency Revised Rule 
12 NCAC 40 .0301 - Informal Hearing Procedure 

Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 



ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19i91 

ARRC Objection 9/19,91 

Obj. Removed 9/19i91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 

ARRC Objection 9/19/91 

Obj. Removed 9/19/91 



Architecture 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



974 



ARRC OBJECTIONS 



21 SCAC 2 .060 J - Committee on Imcstigatiom ARRC Objection 9„ 19 91 

Agency Revised Rule Obj. Removed 9:19 91 

Cosmetic /Vrt Fxaminers 

21 SCAC 14F .0010 - Sanitary Rules ARRC Objection 5 16 91 

Xo Response Jrom .Agency So Action 7, 18,91 

Agency Requested .Additional Time 7 i 18191 

Agency Responded Will Repeal Rule Obj. Removed 8 22 91 

Practicing Psychologists 

21 SCAC 54 .1701 - Information Required ARRC Objection 8 22 91 

Agency Revised Rule Obj. Removed 9. 19 91 

21 SCAC 54 .1704 - Revie^v Procedure ARRC Objection 8 22 91 

Agency Revised Rule Obj. Removed 8 22 91 

21 SCAC 54 .2103 - Reinstatement ARRC Objection 8.22 91 

Agency Revised Rule Obj. Removed 9 19.91 



9-5 6:14 SORTH CAROLIXA REGISTER October 15, 1991 



RULES INVALID A TED BY JUDICIAL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available), and the Office of Administrative Hearings which 
invalidate a rule in the North Carolina Administrative Code. 



ISA NCAC 21D .0802(b)(2) -AVAILABILITY 

Robert Roosevelt Reilly Jr., Administrative Law Judge with the Office of Administrative Hearings, 
declared Rule 15A NCAC 21 D .0802(b)(2) void as applied in Wilson's Supermarket §12. Petitioner v. 
Department of Environment, Health, and Natural Resources, Respondent (91 EHR 0795). 



6:14 NORTH CAROLINA REGISTER October 15, 1991 976 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



The North Carolina Adminislralive Code (NCAC) has four major subdivisions of rules. Two 
of these, titles and chapters, are mandatory. The major subdivision of the NCAC is the title. 
Each major department in the North Carolina executive branch of government has been as- 
signed a title number. Titles are further broken down into chapters which shall be numerical 
in order. The other two. subchapters and sections are optional subdivisions to be used by 
agencies when appropriate. 

TITLE/MAJOR Dl\ ISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 



HIE 


DEPARIMENT 


LICENSING BOARDS 


CHAPTER 


1 


Administration 


Architecture 


2 


2 


Agriculture 


Auctioneers 


4 


3 


Auditor 


Barber Examiners 


6 


4 


Economic and Community 


Certified Pubhc Accountant Examiners 


8 




Development 


Chiropractic Examiners 


10 


5 


Correction 


General Contractors 


12 


6 


Council of State 


Cosmetic Art Exammers 


14 


7 


Cultural Resources 


Dental Examiners 


16 


8 


Elections 


Electrical Contractors 


18 


9 


Governor 


Eoresters 


20 


10 


Human Resources 


Geologists 


21 


11 


Insurance 


Hearing /\id Dealers and Litters 


22 


12 


Justice 


I andscape Architects 


26 


13 


Labor 


Landscape Contractors 


28 


14A 


Crime Control and Public Safety 


Marital & Eamily Therapy 


31 


1 5 A 


Environment, Health, and Natural 


Medical Examiners 


32 




Resources 


Midwifery Joint Committee 


33 


16 


Public I'ducation 


Mortuary Science 


34 


17 


Revenue 


Nursing 


36 


18 


Secretary of State 


Nursing Home Administrators 


37 


19A 


Transportation 


Occupational Therapists 


38 


20 


Treasurer 


Opticians 


40 


♦21 


Occupational Licensing Boards 


Optometry 


42 


22 


Administrative Procedures 


Osteopathic Examination and 


44 


23 


Community Colleges 


Registration (Repealed) 




24 


Independent Agencies 


Pharmacy 


46 


25 


State Personnel 


Physical Therapy I^xaminers 


48 


26 


Administrative Hearings 


Plumbing, Heating and Lire Sprinkler 
Contractors 


50 






Podiatry Examiners 


52 






Practicing Counselors 


53 






Practicing Psychologists 


54 






Profession^ Imgjneers and Land Surve. 


>ors 36 






Real L'state Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work 


63 






Speech and language Pathologists and 


64 






Audiologists 








Veterinan^ Medical Board 


66 



Note: Title 2 1 contains the chapters of the \arious occupational licensing boards. 



977 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



CUMULA TIVE INDEX 



CUMULA TIVE INDEX 

(April 1991 - March 1992) 



1991 - 1992 

Pages Issue 

1 - 44 1 - April 

44 - 99 2 - April 

100 - 185 3 - May 

186 - 226 4 - May 

227 - 246 5 - June 

247 - 325 6 - June 

326 - 373 7 - July 

374 - 463 8 - July 

464 - 515 9 - August 

516 - 677 10 - August 

678 - 721 11 - September 

722 - 783 12 - September 

784 - 923 13 - September 

924 - 980 14 - October 



AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

FR - Final Rule 

GS - General Statute 

JO - Judicial Orders or Decision 

M - Miscellaneous 

NP - Notice of Petitions 

PR - Proposed Rule 

SO - Statements of Organization 

TR - Temporary Rule 



ADMINISTRATION 

State Construction, 465 PR 

State Employees Combined Campaign, 924 PR 

ADMrSISTRATFV E HEARINGS 

Hearings Division, 310 PR 
Rules Division, 665 PR 

ADMINISTRATFV E ORDER 

Administrative Order, 926 AO 

AGRICULTURE 

Food and Drug Protection Division, 576 PR, 725 PR 

Markets, 576 PR 

North Carolina State Fair, 576 PR 

Pesticide Board, 725 PR 

Plant Industrv', 102 PR, 469 PR, 576 PR 



6:14 NORTH CAROLINA REGISTER October 15, 1991 



978 



CUMULA TIVE INDEX 



CORRECTION 

Division of Prisons, 35 FR, 87 FR, 209 FR, 700 FR, 938 FR 

CRIME CONTROL AND PI BLIC SAFETY 

State Highway Patrol, Division of, 809 PR 

CI LTIRAL RESOURCES 

rVrchivcs and Historv, 932 i'R 
State Library-, 686 PR 

ECONOMIC AND COMMUNITY DEVELOPMENT 

Alcoholic Beverage Control Commission, 4 PR 
Community Assistance, 104 PR 
Credit Union Division, 231 PR. 683 PR 
Employment and Training, 590 PR 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Manauement, 299 PR 

Environmental Management, 197 PR, 271 PR, 447 PR 

Forest Resources, 300 PR 

Health: Epidemioloay, 28 PR, 341 PR, 735 PR 

Health Ser\ices, 9 PR, 327 PR, 727 PR, 815 PR 

Land Resources, 494 PR, 810 PR 

Manne Fishenes, 122 PR, 690 PR 

Parks and Recreation, 693 PR 

State Registrar, 734 PR 

Water Treatment Facility Operators, 495 PR 

W'lldlile Resources Conurussion, 84 PR, 170 PR, 198 PR, 301 PR, 647 PR, 692 PR 

FINAL DECISION LETTERS 

Voting Rights Act, 48, 230, 248, 326. 464, 516. 681. 722, 806. 927 

GENERAL STATUTES 

Chapter 150B, 784 GS 

GO\ERNOR/LT. CO^ ERNOR 

Fxecutive Orders, 1, 45, 100, 186, 227, 247, 374, 678, 804, 924 

HUMAN RESOURCES 

Aszma, Division of. 72 PR. 422 PR 

Blind, Services for, 686 PR 

Fconomic Opportunity. 604 PR, 689 PR 

Facility Ser\ices, 104 PR. 471 PR, 592 PR 

Medical Assistance, 9 PR. 112 PR. 188 PR. 232 PR. 250 PR, 430 PR. 492 PR, 601 PR, 688 PR, 

726 PR, 807 PR, 932 PR 
Mental Health, Developmental Disabilities and Substance Abuse Services, 5 PR, 49 PR, 375 PR, 

449 FR 
Social Ser\ices, 1 16 PR 

rSSURANCE 

Actuanal Services, 119 PR 
Financial F\aluation Di\ision, 933 PR 
Life and Health Division, 430 PR 
Special Services Division. 84 PR 

JUSTICE 

Criminal Justice Education and Training Standards, 607 PR 
Private Protective Services, 121 PR 



979 6:14 NORTH CAROLINA REGISTER October 15, 1991 



CUMULA TIVE INDEX 



Sheriffs' Standards Division, 618 PR 
State Bureau of Investigation, 250 PR 

LICENSING BOARDS 

/\rchitecture. Board of, 30 PR, 232 PR 

Certified Public Accountant Examiners, 201 PR, 935 PR 

Cosmetic Art Examiners, 653 PR 

Electrolysis Examiners, Board of, 737 PR 

Geologists, Board of, 654 PR 

Hearing Aid Dealers and Eitters, 496 PR, 655 PR 

Landscape Contractors' Registration Board, 665 PR 

Medical Examiners, Board of, 304 PR, 363 PR, 935 PR 

Nursins, Board of, 305 PR 

Pharmacy, Board of, 201 PR 

Physical Therapy Examiners, Board of, 33 PR, 363 PR 

Practicing Psychologists Examiners, 203 PR 

Professional Engineers and Land Surve^■ors, 497 PR 

Real Estate Commission, 171 PR, 500 PR 

LIST OF RULES CODIFIED 

List of Rules Codified, 89, 215, 314, 451, 504, 711, 907 

PUBLIC EDUCATION 

Elementary and Secondary, 29 PR, 199 PR, 303 PR, 694 PR 

REVENUE 

Corporate Income and Franchise Tax Division, 816 ER 

Departmental Rules, 968 ER 

Individual Income, Inheritance and Gift Tax Division, 739 FR 

Individual Income Tax Division, 234 FR, 747 FR 

Intangibles Tax Division, 766 FR, 969 FR 

License and Excise Tax Division, 740 FR, 969 FR 

Motor Fuels lax Division, 768 FR 

Property Tax Commission, 210 FR 

Sales and Use Tax, 817 FR 

SECRETARY OF STATE 

Securities Division, 85 PR 

STATE PERSONNEL 

Office of State Personnel, 696 PR 

State Persormel Commission, 172 PR, 364 PR 

STATE TREASURER 

Retirement Systems, 736 PR 

SLATEMENTS OF ORGANIZATION 

Statements of Organization, 518 SO 

TRANSPORTATION 

Division of Motor Vehicles, 213 FR, 502 FR, 701 FR, 773 FR 



6:14 NORTH CAROLINA REGISTER October 15, 1991 9S0 



NORTH CAROLINA ADMINISTRATIVE CODE 

The full publication consists of 53 volumes, totaling in excess of 15,000 pages. It is supplemented monthly 
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10 
10 
10 
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1 - 37 
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25 - 52 
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3- 20 
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1 




2 




3 




4 




5 




6 




7 




8 




9 




10 




11 




12 




13 




14 




15 




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17 




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39 


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40 


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41 


16 


1 - 6 


42 


17 


1 - 6 


43 


17 


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19A 


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